(855) 322-2057Tap to Call This Lawyer
Badges
Claimed Lawyer ProfileLII GoldBlawgsearch
Practice Areas
- Securities Law
- Business Law
- Gov & Administrative Law
Jurisdictions Admitted to Practice
- Alabama
- Alabama State Bar Association
- Georgia
- U.S. District Court for the Northern District of Georgia.
Languages
- English
Professional Experience
- Of Counsel
- Parker MacIntyre
- - Current
- Counsel
- Page Perry, Regulatory and Compliance Group
- -
- Director
- Securities Division of the State of Georgia
- -
- Counsel
- Sutherland Asbill & Brennan LLP
- -
- Director
- Securities Division of the State of Georgia
- -
Education
- University of Georgia
- MBA
- University of Virginia School of Law
- J.D. (1979)
- Georgia Institute of Technology
- B.S. | Economics
Awards
- Outstanding Service Award
- North American Securities Administrators Association (NASAA)
- Outstanding Service Award
- North American Securities Administrators Association (NASAA)
Professional Associations
- Georgia State Bar
- Member
- Current
- North American Securities Administrators Association (NASAA)
- Member
- Current
- Activities: Past Member of Board of Directors; Vice Chair of the NASAA/FINRA CRD Steering Committee
- Alabama State Bar
- Member
- Current
Publications
Articles & Publications
- The Georgia Uniform Securities Act of 2008
- Georgia Bar Journal
Websites & Blogs
- Website
- Robert D. Terry's RIA Compliance Website Profile
- Website
- Page Perry Website
- Website
- Parker MacIntyre - RIA Compliance Website
- Blog
- RIA Compliance Blog
- Robo-Advisers Included Among SEC Examination Priorities
31 January 2020 - SEC Announces 2020 Examination Priorities
24 January 2020 - Supreme Court Refuses to Consider Unsuccessful Pay-To-Play Challenge
17 January 2020 - Text and Chat Messages Key in Hiding Forex Traders Bid-Rigging Scheme
13 January 2020 - SEC Proxy Guidance Questioned by Investor Groups
26 December 2019 - SEC Issues Clarifying Guidance on New Form CRS
5 December 2019 - Supreme Court and Congress Weigh-in on Future of SEC Disgorgement
25 November 2019 - RIAs Mull SEC’s Proposed Changes to Cash Solicitation Rule
15 November 2019 - SEC Releases Proposal to Revamp RIA Advertising and Solicitation Rules
7 November 2019
- Blog
- Small Business Investment Lawyers
- Robo-Advisers Included Among SEC Examination Priorities
31 January 2020 - SEC Announces 2020 Examination Priorities
24 January 2020 - Supreme Court Refuses to Consider Unsuccessful Pay-To-Play Challenge
17 January 2020 - Text and Chat Messages Key in Hiding Forex Traders Bid-Rigging Scheme
13 January 2020 - SEC Proxy Guidance Questioned by Investor Groups
26 December 2019 - SEC Issues Clarifying Guidance on New Form CRS
5 December 2019 - Supreme Court and Congress Weigh-in on Future of SEC Disgorgement
25 November 2019 - RIAs Mull SEC’s Proposed Changes to Cash Solicitation Rule
15 November 2019 - SEC Releases Proposal to Revamp RIA Advertising and Solicitation Rules
7 November 2019
Social Media
Contact & Map
