Secore & Waller, L.L.P.
WE ARE PLEASED TO ANNOUNCE THAT THE WALLER SECURITIES PRACTICE GROUP HAS JOINED GLAST PHILLIPS & MURRAY. PLEASE NOTE THAT OUR ADDRESS, TELEPHONE NUMBERS AND EMAILS HAVE CHANGED.
For detailed contact information please see Contact Information
(972) 419-8300
14801 QUORUM DRIVE, SUITE 500
DALLAS, TEXAS 75254-1449
Areas of Practice
- Private Equity
- Hedge Funds
- Mergers and Acquisitions
- Federal Securities Compliance
- State Securities Compliance
- Broker/Dealer Compliance
- Investment Adviser Compliance
Education
- University of Illinois
- Champaign, Illinois
- J.D. 1977
- University of Nebraska
- Lincoln, Nebraska
- B.A. - 1973
- Major: Economics
- University of Texas at Dallas
- Dallas, Texas
- Non-degree: Accounting and auditing
Bar Admissions
- Texas 1977
- U.S. District Court Northern District of Texas
Joan C. Waller
Partner
Summary of Practice: I am in private practice in Dallas, Texas. I currently represent clients in many aspects of federal and state securities issues. The firm and I represent clients in private offerings of securities, mergers and acquisitions, compliance with securities reporting requirements, securities broker/dealer and investment adviser compliance, defense of investigations conducted by and enforcement actions initiated by the Securities and Exchange Commission, the Financial Industry Regulatory Authority, or state securities agencies, representation before stock exchanges in connection with listing or delisting matters, securities arbitrations, and general corporate matters. Our clients include introducing and clearing securities broker/dealers, investment advisers, reporting companies, investment funds, registered individuals, and companies seeking capital through private offerings.
Publications
- Legal Aspects of Banking, Bankers Digest, weekly, 1983 - 1999
Past Employment
- Payne & Blanchard (f/k/a DeHay & Blanchard), Partner, 1984 - 1994
- DeHay & Blanchard, Associate, 1981 - 1983
- Federal Reserve Bank of Dallas, Regulation Attorney, 1980 - 1981
- Texas Securities Board, Enforcement Attorney, 1978 - 1980