Excellence with Cost Effective Results
DAN R. WALLER
Mr. Waller represents clients in matters relating to state and federal securities regulation, including the preparation of offering documents, securities arbitration, capital formation, defense of regulatory investigations and enforcement actions by the Securities and Exchange Commission, FINRA and state securities agencies. He also counsels investment companies, investment advisers and broker-dealers concerning regulatory matters.
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.
In 1993, Mr. Waller was nominated by Governor Ann Richards of Texas to serve as one of three public Board members charged with overseeing the administration of the Texas State Securities Board. He was confirmed by the Texas Senate under the administration of Governor George W. Bush and served as a member of the Board from 1993-1999.
In 1990, Mr. Waller organized the creation of the Securities Law Section of the Dallas Bar Association and was Chairman from 1990-1991. From 1993-2003, Mr. Waller also served as the Chair of the American Bar Association Subcommittee on State Securities Enforcement Matters, in which capacity he was liaison with other securities lawyers and state securities administrators concerning matters involving the enforcement of state securities laws.
From 2010-2015, Mr. Waller served as the Chair of the American Academy of Attorney-CPAs for the North Texas Chapter of the AAA-CPA. In addition to being a licensed member of the Texas Bar, he has been licensed as a Certified Public Accountant with the Texas State Board of Public Accountancy since 1979.
Mr. Waller has been employed as an expert witness in litigation and arbitration matters with respect to securities law issues. He has also served as a court-appointed receiver at the request of the Texas State Securities Board and the Securities and Exchange Commission on multiple occasions.
St. Mary's University School of Law
San Antonio, Texas
University of Illinois
Major: Political Science
State Bar of Texas
Texas State Board of Public Accountancy
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Unless otherwise specified, the attorneys listed on this website are not certified by the Texas Board of Legal Specialization.
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