Steven Graham

Steve leads Constellation’s Southern Regulatory and Compliance Practice. He oversees the development, implementation and ongoing maintenance of clients’ compliance programs, including ongoing execution, conducting annual reviews, mock examinations, and providing advisory services to Constellation’s client base. Steve has over 25 years of legal, regulatory and compliance experience covering registered investment advisers, hedge funds, private equity firms, broker-dealers, and venture capital funds. Before joining Constellation, he served as Senior Regional Counsel at FINRA for 5 years, where he lead the investigation and prosecution of high profile matters relating to broker-dealer violations. Prior to that, Steve was a Senior Enforcement Attorney at the US Securities and Exchange Commission (“SEC”) for nearly 12 years, focusing on various securities law violations within the investment management and securities industry. He began his career serving as a litigator in private practice. Steve earned his Juris Doctor from the Dedman School of Law at Southern Methodist University and is a licensed attorney admitted in the State of Texas.