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
Attorneys
Government/Regulatory
- U.S. Securities and
Exchange Commission - North American Securities
Admistrators Association - Financial Industry
Regulatory Authority - Investment Adviser
Registration Depository - Texas State Securities
Board - Public Company Accounting
Oversight Board
Offerings and Filings
We represent issuers and broker/dealers in securities offerings. We prepare offering documents, private placement memoranda and underwriting or selling agreements. We assist investment funds and individuals in the filing of ownership reports, including Schedule 13Ds, and Forms U-3, U-4 and U-5. We represent issuers, broker/dealers, investment advisers, and registered representatives in applications and filings with the SEC, FINRA and state securities agencies.
Broker/Dealers
We represent broker/dealers in all aspects of their business, including forming or registering firms, preparing or reviewing clearing agreements, client and employee arbitrations, and regulatory compliance.
Investment Advisers
We represent investment advisers in all aspects of their business, including forming or registering firms, filing or amending form ADVs, preparing investment advisory contracts and forming proprietary funds.
Regulatory Defense
Our regulatory experience helps us provide effective representation to clients in investigations and enforcement proceedings conducted by the SEC, FINRA, and state securities agencies and in enforcement or delisting proceedings before national securities exchanges.
Securities Industry Litigation
Our in-depth understanding of the securities industry helps us provide effective representation in litigation or arbitration proceedings related to securities. We represent individuals and brokerage firms in employment, competition and similar claims. Our industry experience enables us to promote our clients' objectives while resolving their issues in a cost-efficient and expedient manner.
Business and Corporate Representation
We anticipate the impact of state and federal securities laws in our representation of our clients. We provide general and specialized corporate advice on business or strategic issues that might arise with our private and public clients. The scope of this practice includes formation and structure of companies, planning with respect to financing of business operations and growth, buying and selling businesses, merging and consolidating businesses, investor communications and business plan review and advice.