Joan Conway Waller | Attorney
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About Joan
JOAN CONWAY WALLER
I am in private practice in Dallas, Texas. I currently represent clients in many aspects of federal and state securities issues. The firm and I represent clients in private offerings of securities, mergers and acquisitions, compliance with securities reporting requirements, securities broker/dealer and investment adviser compliance, defense of investigations conducted by and enforcement actions initiated by the Securities and Exchange Commission, the FINRA, or state securities agencies, representation before stock exchanges in connection with listing or delisting matters, securities arbitrations, and general corporate matters. Our clients include introducing and clearing securities broker/dealers, investment advisers, reporting companies, investment companies, hedge funds, registered individuals, and companies seeking capital through private offerings.
Education
1977
Secore & Waller LLP Highlights
Securities, Business
Firm Size:
1
Firm Locations:
1