Legal & Compliance

Todd C. Ferguson is the Chief Compliance Officer and General Counsel for Stephens Investment Management Group. Todd earned his Bachelor of Arts from Trinity University in San Antonio, Texas, and his Juris Doctor, with high honors, from the University of Arkansas at Little Rock William H. Bowen School of Law. Since joining Stephens in 1994, Todd has provided legal services to many areas of the firm and its financial services affiliates, including investment banking, private wealth management, public finance, institutional equities and research, and insurance.

Allison Pearson Rhodes is a Senior Vice President and Associate General Counsel of Stephens Investment Management Group. Prior to joining SIMG in May 2022, Allison worked for a law firm in Little Rock, Arkansas defending employers in litigation and advising employers on regulatory and compliance issues. While in private practice, Allison was recognized as “One to Watch" by Best Lawyers in America and a “Rising Star" by Mid-South Super Lawyers. Allison previously served as counsel for the United States Social Security Administration, and clerked for the Honorable Stephanie A. Gallagher of the U.S. District Court for the District of Maryland. Allison earned her Bachelors of Science in Business Administration with honors in management from Washington University in St. Louis, and her J.D., with honors, from American University Washington College of Law.

Laura Neve is a Compliance Analyst and Assistant Secretary for Stephens Investment Management Group. Laura joined Stephens Inc. in 1988 and has spent all twenty four years in the mutual fund business with the Mutual Fund Accounting, Mutual Fund Services and Stephens Investment Management Groups. Laura graduated from the University of Arkansas with a BBA degree in 1986 and worked at another broker/dealer, Swink & Company, prior to joining Stephens Inc.