Scottdale Securities Lawyers

James P. Galvin is the founder of Galvin Legal. He is a member of the Florida Bar and the State Bar of Georgia. He graduated from Georgia State University in Atlanta, Georgia with a Bachelor of Business Administration degree in Finance. He obtained his Juris Doctor from the University of Miami School of Law in Coral Gables, Florida. At the University of Miami, he completed the litigation skills program, which included serving as a Certified Legal Intern with the Miami-Dade State Attorney’s Office. Mr. Galvin actively participated in the Investor Rights Clinic as a Certified Legal Intern, Returning Fellow,...

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...

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...

Richard S. Frankowski is the owner of The Frankowski Firm, LLC based in Birmingham, Alabama and Incline Village, Nevada. Mr. Frankowski has represented hundreds of investors around the country in FINRA arbitrations and in court. His practice focuses on stock broker fraud, consumer class actions, and direct and derivative shareholder litigation. He is an AV Preeminent-rated attorney by Martindale Hubbell and is a member of the Alabama and Florida Bars, as well as a member of the American Bar Association, the American Association for Justice, and National Trial Lawyers. Mr. Frankowski co-authored The Practitioner's Guide to...

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...

Maggie Heim represents clients in complex litigation matters in both the Federal and State court systems. She has earned a reputation as a skilled advocate who is unwilling to accept less than the best result for her clients. Maggie has been recognized for excellence in the practice of law by numerous independent attorney rating services, including Super Lawyers, the Daily Report, Martindale-Hubbell, Legal Elite, and Avvo.

Tom is a former federal prosecutor who represents businesses and individuals in government investigations, False Claims Act litigation, complex civil litigation, and white collar criminal defense. Before founding Griffin Durham Tanner and Clarkson, Tom led a nationally recognized Department of Justice unit responsible for prosecuting complex civil and criminal fraud out of the Southern District of Georgia. In addition to his supervisory responsibilities, he led some of the office’s most complex and significant criminal cases in the office. During his tenure with the Department of Justice, he tried cases involving public corruption, health care fraud, pill mills, wire/mail fraud, and violent...

Jeff Bekiares is an attorney with over ten years of experience in general corporate, capital raising and securities laws practice. He began his career at a great Atlanta law firm, practicing there for over six years before leaving large firm life to become the Co-founder, COO and General Counsel of SparkMarket, a Georgia based crowdfunding platform. He has worked with clients at a variety of stages: from start-ups, to emerging growth to exchange listed public companies. He specializes in entity formation, governance, operating and shareholders agreement, commercial contract drafting, mergers & acquisitions, capital raising and all manner of transactional...

Gerry Balboni is an experienced deal lawyer representing growth companies, investors, and buyers and sellers of growth companies. He has distinctive expertise in venture capital, private equity, acquisitions, and licensing and distribution of technology and software. Gerry brings a results-oriented approach to every engagement. He knows what works and what doesn't. Gerry graduated from the University of South Florida in 1975 with a B.A. in English, from the Graduate School of Business of Stetson University in 1977 with an MBA, and from the Cumberland School of Law of Samford University in Birmingham, Alabama in 1984 with a J.D., cum laude....

Mr. Herman has spent 30 years representing clients in high stakes litigation involving intellectual property, securities, class actions, antitrust and high tech disputes. He has litigation in federal and state courts across the United States and achieved significant success for his clients. He is regularly appointed as lead counsel in a variety of class action cases. See www.hermanjones.com for more information.

J. Michael Bishop is a partner in the Atlanta firm of Smiley Bishop & Porter LLP. For over 25 years, Mike has practiced extensively in the areas of securities arbitration and litigation, representing investors with securities claims of all types and sizes. Mike and his firm have obtained numerous seven-figure arbitration awards which have included punitive damages, attorneys’ fees and costs. Many of Mr. Bishop’s clients are elderly investors who have been victims of investment and financial fraud. Mike has successfully represented clients with claims against virtually every major Wall Street firm, including: Bank of America/Merrill Lynch, UBS/PaineWebber, Morgan Stanley/Dean Witter,...

Pitts Carr is one of the founding partners of the nationally recognized law firm Carr & Weatherby, LLP. During his 43-year tenure as a trial attorney, Mr. Carr has become one of the most respected and experienced attorneys in the Southeast. He has been described as a tough litigator with a reputation for professionalism and high ethical standards in the courtroom. He also is known for his unequaled success rate. Mr. Carr graduated with a bachelor’s degree in economics from the University of Georgia, followed by a J.D. degree from Duke University Law School in 1972. He has...

Meredith opened Parrish Trial Law in 2018 to provide personalized attention to seriously injured clients in injury cases. As a trial lawyer, Meredith is prepared to handle your case from beginning to end. She graduated in the top third of her class at Georgia State University's College of Law in May 2011. Before attending law school, she obtained her B.A. degree in Political Science from the University of Georgia. Meredith is a member of the Young Lawyers Division of the Georgia State Bar, the American Association for Justice, Georgia Appleseed's Young Professionals Council, and the the Georgia Trial Lawyers Association...

With a strong focus on the RIA space, I provide valuable counsel to RIAs of all sizes, from start-ups to firms managing billions of dollars in assets. As a Chief Compliance Officer and Securities Attorney, I understand the evolving challenges faced by RIAs and the importance of maintaining compliance. At My RIA Lawyer, we are dedicated solely to serving the RIA community, making us the go-to law firm for RIA compliance and legal matters. Our team of RIA compliance and legal nerds are ready to assist you in navigating the complex legal landscape of the RIA world. We provide tailored solutions...