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DAN R. WALLER
Summary of Current Practice: I am currently engaged in many facets of state and federal securities regulation, including public and private offerings, securities arbitration, defense of investigations and civil enforcement actions by the Securities and Exchange Commission and? state securities agencies, and regulatory matters in connection with investment companies, investment advisers, broker-dealers and publicly-held companies.
Specialization & Expertise in Current Practice: Prior to forming Secore & Waller, L.L.P. in January 1995, I was a partner in Payne & Blanchard, L.L.P., Dallas, Texas, from April 1993 to December 1994, and a shareholder of True Rohde & Sewell, P.C., Dallas, Texas, from June 1984 through March 1993. I was employed by the Texas Securities Board from 1976 to 1980 and the United States Securities and Exchange Commission from 1981 to 1984. As Assistant Director of Enforcement in the Dallas office of the Texas Securities Board, I was responsible for the supervision, prosecution and investigation of all state enforcement matters in North Texas. As Branch Chief of Enforcement for the SEC, I was responsible for supervising federal investigation and enforcement efforts in a five-state area. Enforcement matters included cases involving insider trading, fraud by reporting public companies, oil and gas fraud, broker-dealer regulation and bank fraud.
I am occasionally employed as an expert witness in litigation and arbitration matters with respect to securities law issues. Among the topics about which expert opinions have been sought in the past include broker-dealer supervision and regulation, civil liability under federal and state securities laws, resales of restricted stock under Rule 144, contract interpretation, and liability of officers and directors of publicly-held companies.
I have served on several occasions as a court-appointed receiver at the request of the Texas Securities Board and the Securities and Exchange Commission.
Educational Background:
University of Illinois, Champaign, Illinois, B.A. Political Science-Economics, May 1973
St. Mary's University School of Law, San Antonio, Texas, J.D., May 1976
I have been licensed as a Certified Public Accountant in Texas since January 1979.
Admission to Practice : I am a member of the State Bar of Texas, the U.S. Court of Appeals for the Fifth Circuit, the U.S. District Courts for the Northern and Southern Districts of Texas and the District of Arizona, the United States Supreme Court and the United States Tax Court.
Professional Memberships: I am a member of the State Bar of Texas and its Section on Securities, Corporations and Banking Law, the American Bar Association Section on Business Law and its Committee on State Regulation of Securities. I am a member of the ABA Committee on Federal Securities Regulation and a member of the Subcommittee on SEC Enforcement matters.? I am currenlty chair of the Securities Committee for the American Assocation of Attorney - Certified Public Accountants. I was Chairman of the ABA Subcommittee on State Enforcement Matters from September 1993 until September 2003. I was Founding Chairman of the Dallas Bar Association Securities Law Section. I am a Member of the Board of Arbitrators at the National Association of Securities Dealers, Inc.
Other: In September 1993, Governor Ann Richards (later confirmed by Governor George Bush) appointed me to the Texas Securities Board where I served as a?Board Member from September 1993 until May 1999.
I?previously served as?a member of the Advisory Board, Financial Services MBA Program at the University of Dallas Graduate School of Management.
Publications/Lectures:
Litigation of a Securities Transaction: The Plaintiff's Causes of Action, delivered March 6, 1987 at University of Texas Securities Regulation Conference, Austin, Texas.
Litigation of a Securities Transaction: The Plaintiff's Causes of Action, delivered on March 11, 1988, at the University of Texas Conference on Securities Regulation and Business Law Problems, Austin, Texas.
The Regulation of Financial Planners, delivered before Dallas Chapter of Texas Society of Certified Public Accountants, Committee on Financial Planning, September 8, 1988.
Criminal Prosecution Under the Texas Securities Act, published in the September and December issues of Voice For the Defense, official journal of the Texas Criminal Defense Lawyers Association.
Regulation of Investment Advisers and Financial Planners Under State and Federal Law, delivered before the Institute of Certified Financial Planners, July 14, 1990.
An Overview of the Securities Enforcement Remedies and Penny Stock Reform Act of 1990, delivered on March 12, 1993, at University of Texas Conference on Securities Regulation and Business Law Problems, Dallas, Texas.
Regulation D and Other Statutory Exemptions From Securities Registration, delivered on October 12, 1993, for National Energy Network Conference, Dallas, Texas.
Securities Law Survey of Significant Federal Decisions, Texas Tech University Law Review, Annual Survey of Current Developments for 1993.
Securities Law Survey of Significant Federal Decisions, Texas Tech University Law Review, Annual Survey of Current Developments for 1994.
The Regulation of Investment Advisers and Financial Planners and The Investment Advisers Act of 1940, delivered before the Dallas/Fort Worth Society of the Institute of Certified Financial Planners, November 19, 1994.
Lecturer, Pitfalls of Practice Before the Securities and Exchange Commission, delivered before the University of Texas Securities Regulation Conference held in Dallas, Texas, February 2003.
Lecturer, SEC Enforcement Proceedings and Policies - The Defense Perspective, delivered before the SEC Enforcement Training Seminar held in Fort Worth, Texas, September 2003.
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