Parker MacIntyre represents investment advisers, broker-dealers, pooled investment vehicles, registered representatives, and others with respect to matters involving business formation, compliance, contracts, and all of the other legal challenges faced by firms and persons in the investment services arena. We regularly advise our clients with respect to issues including formation, regulation, reporting, advertising, supervision, and policies and procedures.

Parker MacIntyre attorneys have extensive experience in the securities regulatory arena. They have served as regulators and attorneys for regulators. They have represented companies and individuals in investigations and proceedings brought by the SEC, NASD (now FINRA), and many state securities regulators. Some of our attorneys also spent many years working as securities regulators -- examining firms, hearing and ruling on customer complaints, and bringing regulatory actions in court.

We are qualified and prepared to assist securities industry participants to avoid regulatory problems and to help them resolve any securities regulatory issues that might arise. We therefore know the financial services industry from the inside and the outside. We can help you put or keep your house in order to prevent or minimize regulatory action and customer complaints.