Secore & Waller, L.L.P. provides sophisticated securities law advice and representation to regional and national clients in securities offerings and filings, regulatory matters, litigation, arbitration and corporate matters.

Our Practice

Our clients include:

Securities Issuers
Securities Broker/Dealers
Investment Advisers
Investment Companies
Registered Representatives
Associated Persons and Affiliates

We prepare registration statements, offering documents and underwriting agreements for public and private offerings. We represent plaintiffs and defendants in securities and business litigation and arbitration. We represent clients in investigations and enforcement proceedings conducted by the Securities and Exchange Commission, the National Association of Securities Dealers, Inc., state securities agencies and the national securities exchanges. We serve as independent counsel in connection with internal investigations and provide advice to boards of directors. We assist clients in complying with filing requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934. As part of our representation of persons in the securities business, we provide general corporate and partnership advice in connection with formation of entities, mergers and acquisitions, and employment, competition, intellectual property and similar issues.

Our People

The three founding partners in our firm collectively possess twenty-five years of experience as regulators in the securities and banking industries. In addition, each has been in private practice representing clients in the securities and banking industries for over fifteen years. This combination of regulatory and private practice experience enables us to offer our clients knowledgeable and effective legal representation.

Dan R. Waller has been engaged in the practice of law for twenty-eight years, including eight years as a securities regulator with the Texas Securities Board and the Securities and Exchange Commission. As Assistant Director of Enforcement heading the Dallas office of the Texas Securities Board, he was responsible for the supervision, investigation and prosecution of enforcement matters in North Texas. As Branch Chief of Enforcement for the SEC, he was responsible for 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. Mr. Waller served as Chairman of the Subcommittee on State Enforcement Matters, Committee on State Regulation of Securities for the American Bar Association Business Law Section from 1993 to 2003. He is currently chair of the Securities Committee for the American Association of Attorney - Certified Public Accountants. He served as one of the three board members appointed by the governor of Texas to the Texas Securities Board from 1993 to 1999. He has been a Certified Public Accountant in Texas since January 1979. His unique experiences have given him a detailed understanding of the law, the industry, and client needs in the securities industry. Mr. Waller's experience and insight have earned him a national reputation for effective representation of clients in the securities industry.

Wayne M. Secore has a similar record of achievement. Mr. Secore has been engaged in the practice of law for thirty years, the first fifteen of which he was employed in various offices of the Securities and Exchange Commission in Branch Chief, Assistant Regional Administrator and Regional Administrator capacities. His regulatory experience includes supervising a staff of securities compliance examiners in the conduct of examinations of registered broker/dealers, investment advisers and investment companies within the geographical areas of the San Francisco and Fort Worth Offices. His enforcement experience includes supervising a staff of attorneys, accountants, and investigators in conducting investigations and when appropriate, enforcement actions, including seeking injunctive relief and administrative actions. As Regional Administrator in the Fort Worth Office, he was responsible for regulation and enforcement of the federal securities laws in the States of Texas, Oklahoma, Kansas, Arkansas and Western Louisiana. Mr. Secore is formerly Chairman of the Securities Subcommittee of the Business Law Committee of the Texas Bar Association and Chairman of the Securities Committee of the Dallas Bar Association. His insight, comprehensive knowledge of securities law and commitment to excellence in client representation has earned him a national reputation of distinction.

Joan Conway Waller spent three years as a securities and banking regulator with the Texas Securities Board and the Federal Reserve Bank of Dallas before entering private practice in 1981. She has extensive experience representing clients in securities offerings, mergers and acquisitions and regulatory matters. For over fifteen years, she co-authored the weekly column "Legal Aspects of Banking" which appeared in the Bankers Digest, and taught and spoke frequently on banking and securities issues.

Other attorneys in the firm also possess experience and qualifications which help the firm provide sophisticated and effective representation of clients in the securities industry.

Our Focus

Through our experience, we have developed a unique understanding of securities law and the specialized legal needs of the members of the investment and securities industry. We are proud of our standing as a premier provider of legal services to the individuals and businesses who comprise that industry.

Secore & Waller, L.L.P.
Four Forest
12222 Merit Drive, Suite 1350
Dallas, Texas 75251
Telephone: (972) 776-0200
Fax: (972) 776-0240

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