Waller Dan R

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Map & DirectionsDirections12222 Merit Dr Ste 1350Dallas, TX 75251 Write a ReviewWrite Review

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Neighborhoods: North Central Dallas, Hillcrest Forest
AKA: Waller, Dan R, JD
Categories: Corporation & Partnership Law Attorneys, Attorneys, Business Law Attorneys, Business Litigation Attorneys, Criminal Law Attorneys

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Phone: (972) 776-0200

Address: 12222 Merit Dr Ste 1350, Dallas, TX 75251

Waller Dan R

Criminal Law

Criminal Defense
Fraud
Prior to joining Glast Phillips & Murray, PC in February 2017, Mr. Waller was the Managing Partner of Secore & Waller, L.L.P. from 1995-2017. He was employed by the Texas State Securities Board from 1976 to 1980 and the United States Securities and Exchange Commission from 1981 to 1984. As an Assistant Director of Enforcement in charge of the Dallas office of the Texas State Securities Board, he was responsible for the supervision, prosecution and investigation of state enforcement matters. As Branch Chief of Enforcement in the SEC's Fort Worth office, he was responsible for supervising federal investigation and enforcement efforts in a five-state area. Enforcement matters in both offices included insider trading, accounting fraud, fraud by reporting public companies, oil and gas fraud, broker-dealer regulation and bank fraud.

Business and Corporate Law

Corporate Law
I have devoted my practice to counseling and defending public and private companies, their officers and directors, board committees, and executives in regulatory investigations and litigation involving both federal and state securities law as well as commercial matters. I have defended individuals and companies in SEC investigations and have conducted internal investigations. I have also handled 10b-5 cases, merger litigation, shareholder derivative actions, and a wide variety of commercial disputes. These engagements involved accounting and financial statement issues, disclosure matters, valuation issues, faulty earnings guidance, Foreign Corrupt Practices Act payments, recordkeeping and controls matters, insider trading, Regulation FD issues, mutual fund trading practices, handling whistleblowers and review of company hotlines, corporate governance practices, bankruptcy-related matters, Ponzi schemes, forfeiture issues, self-reporting to regulators, external auditor issues, breach of contract issues, breach of fiduciary duty allegations, officer and director insurance and indemnification, and e-discovery issues.
Mergers and Acquisitions
We prepare registration statements, offering documents and underwriting or selling agreements for public and private companies. 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 Financial Industry Regulatory Authority and state securities agencies. We have served as independent counsel to public and privately held companies in connection with internal investigations. We 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 advice in connection with formation of entities, mergers and acquisitions, employment, competition, intellectual property and similar issues.
Business Disputes
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.

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