Forsyth County Securities Lawyers

J. Steven Parker has extensive experience in the areas of investment adviser and broker dealer regulation, as well as securities litigation and arbitration. As a partner in the firm’s Regulatory Practice Group, representing individuals, broker-dealers, and investment advisers in regulatory and enforcement matters. Additionally, he represents broker-dealers, registered representative and others in securities litigation and arbitration matters.
Mr. Parker advises existing and start-up investment advisers, including advisers required to be registered with the Securities and Exchange Commission or with one or more state regulatory agencies. The landscape of regulation in this area of law is constantly shifting, requiring in most instances...

Mr. Gort specializes in providing regulatory and compliance-related services to registered investment advisers (“RIAs”). At Parker MacIntyre, Mr. Gort manages the day to day task of keeping track of regulatory deadlines for all of the firm’s RIA clients and oversees the work of other Parker MacIntyre associates. In this role, Mr. Gort routinely drafts Investment Advisory Agreements for RIAs, disclosure documents (including Form ADV Parts 1 and 2, Form U4 and point of sale disclosures), compliance manual procedures and other ancillary documents for RIAs.

Mr. Gort has accumulated experience since 2013 in creating legal solutions for problems registered investment advisers...

Mrs. Klusmeyer specializes in providing legal advice and compliance support to registered investment adviser clients. During her time at Parker MacIntyre since 2016 she has provided compliance guidance to investment adviser and broker-dealer clients, assisted with various regulatory filings, drafted compliance policies and procedures, drafted agreements, helped prepare responses to SEC and state examinations, and represented clients in FINRA arbitration.

Mrs. Klusmeyer maintains familiarity and competence regarding recent developments in securities rules, the Financial Industry Regulatory Authority, and regulations from federal and state regulators, including the Securities and Exchange Commission and the Department of Labor. She has helped clients implement...

Walter Jospin’s practice focuses on SEC and other securities regulatory enforcement matters, corporate governance, internal investigations, and SEC Whistleblower Claims.

Mr. Jospin is the former Director of the Atlanta Regional Office of the U.S. Securities and Exchange Commission, where he served from February 2015 until January 2018. As Regional Director, he led over 110 lawyers, accountants, and compliance examiners in the office’s Enforcement and Examination programs, which cover Georgia, Tennessee, Alabama, North Carolina, and South Carolina. During his three-year tenure, Mr. Jospin supervised many enforcement actions relating to financial and accounting fraud, disclosure failures, audit failures, offering frauds, Ponzi schemes, violations...