Sharpsburg Securities Lawyers

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...

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...

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...

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...

Pratt H. Davis is an experienced trial and arbitration counsel who concentrates his practice in the areas of securities and trust litigation/arbitration, complex commercial litigation and injury claims. Mr. Davis has successfully represented individual and business clients in multi-million dollar securities cases. He has served as a court appointed receiver as well as counsel for the receiver in high-dollar complex cases brought by the Securities and Exchange Commission. Mr. Davis’ arbitration experience also includes the representation of brokers and investment advisers in employment-related disputes and representing brokerage firms in interpleader actions.

Mr. Davis’ practice also includes the representation of both private...

Patrick Zichterman, an associate attorney with Parker MacIntyre’s Regulatory Practice Group, represents individuals, broker-dealers, and investment advisers in compliance, regulatory, and enforcement matters. He received a Bachelor of Arts degree from the University of Colorado in Boulder and earned a J.D. in 2015 from the University of Georgia School of Law in Athens. During both his second and third year of law school, Mr. Zichterman interned with the Enforcement Division at the Atlanta Regional Office of the U.S. Securities and Exchange Commission, which provided him with valuable insight into the industry. While at UGA Law, Mr. Zichterman also served as...