Secore & Waller, L.L.P.
12222 Merit Drive, Suite 1350
Dallas, Texas 75251
972-776-0200
Areas of Practice
- State Securities Regulation
- Federal Securites Regulation
- Broker/Dealer Regulation and Defense
- Investment Advisor Regulation and Defense
- Principal Stock Exchange Regulation and Defense
Education
- DePaul University College of Law
- Chicago, Illinois
- J.D. 1969
- Indiana University
- Bloomington, Indiana
- B.S. 1966
Bar Admissions
- Texas 1986
- U.S. District Court Northern District of Texas, 1985
- U.S. District Court Southern District of Texas, 2004
- U.S. District Court Eastern District of Texas, 2004
Professional Memberships
- Chairman, Dallas Bar Association, Securities Section 1993
- Chairman, Texas Bar Assocation, Securities Subcommittee, Business Law Section 2000 - 2002
Wayne M. Secore
Of Counsel
Expertise: I have been engaged in the practice of law for over forty years, the first fifteen of which I was employed by the Securities and Exchange Commission in its Chicago, San Francisco and Fort Worth offices. Since April 1986, I have been engaged in private practice handling virtually all facets of state and federal securities work, including litigation and arbitration, defense of investigations conducted by and enforcement actions initiated by the Securities and Exchange Commission, the Texas Securities Board and other state securities agencies, self-regulatory organizations and state stock exchanges, and regulatory work and filings in connection with investment companies, investment advisors, broker-dealers and publicly-held companies.
I am occasionally employed as an expert witness in litigation and arbitration matters with respect to securities law issues. Some of 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, and resales of restricted stock under Rule 144.
I have served on several occasions as a court-appointed receiver and as a fund distribution agent at the request of the Securities and Exchange Commission.
Past Employment
- January 2010 - to Present, Of Counsel, Secore & Waller, L.L.P., Dallas, Texas.
- January 1995 - December 2009, Partner, Secore & Waller, L.L.P., Dallas, Texas.
- 1981 - 1986, I was Regional Administrator for the Securities and Exchange Commission in the Fort Worth Regional Office. That office was responsible for the regulation and enforcement of the federal securities laws in Texas, Oklahoma, Kansas, Arkansas and Western Louisiana. These duties were performed by a staff of 46 attorneys, accountants, investigators and securities compliance examiners.
- 1979 - 1980, I was Assistant Regional Administrator for the Securities and Exchange Commission in the Fort Worth Regional Office. My duties included supervising a staff of securities compliance examiners in the conduct of examination of registered broker/dealers, investment advisers and investment companies within the geographical area of the Fort Worth Regional Office. In addition, I supervised numerous investigations and enforcement actions arising from those examinations.
- 1975 - 1978, I was Branch Chief for the Securities and Exchange Commission in its San Francisco Branch Office. My duties included supervising a staff of securities compliance examiners in the conduct of examinations of registered broker/dealers, investment advisors and investment companies within the geographical area of the San Francisco Branch Office. In addition, I supervised numerous investigations and enforcement actions arising from those examinations.
- 1971 - 1975, I was Staff Attorney for the Securities and Exchange Commission in its Chicago Regional Office. My duties included examination of registered investment companies and their affiliated investment advisers and any investigative and enforcement actions arising from those examinations.