Smyrna Securities Lawyers

Recognized as one of the "Best Lawyers in America," Michael A. Sullivan is a former federal prosecutor with 35+ years of legal experience in complex civil litigation, internal investigations, and criminal prosecutions. He recently served as Counsel to the Volkswagen AG Independent Compliance Monitor Larry D. Thompson. He also advises clients in the U.S. and abroad on compliance with U.S. laws. He also has successfully tried complex cases for individuals and companies, including cases of fraud, breach of fiduciary duty, other business disputes, and serious personal injury. In whistleblower cases, he represents qui tam whistleblowers in cases under the False...

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...