John R. Fahy is an experienced securities attorney with significant regulatory experience, including prosecuting cases for the U.S. Securities and Exchange Commission and the Texas State Securities Board and serving as general counsel of two broker-dealers and an investment adviser.
He practices securities law, advising broker-dealers, investment advisers, and issuers on regulatory and compliance matters.
Represents clients in inquiries and investigations by the SEC, FINRA, the Texas State Securities Board, and other securities regulators;
Advises clients on compliance issues and procedures;
Advises on regulatory filings including FINRA CMAs and Form ADVs;
Keeps clients up-to-date on regulatory changes;
Prepares private placement memoranda for private offerings with SEC and blue sky compliance;
Prepares SEC Filings;
Prepares corporate documents; and
Represents clients in securities arbitrations and litigation.
Whitaker Chalk has the necessary technology platform to respond to voluminous regulatory requests and is located within walking distance of the SEC’s Fort Worth Regional Office.
Mr. Fahy has over 20 years’ experience as a securities attorney. His previous achievements include:
General Counsel for two securities broker-dealers and an investment adviser subsequently purchased by Fidelity Investments and experience working in-house for Fidelity;
Enforcement Attorney for the U.S. Securities and Exchange Commission’s Fort Worth Regional Office;
Managing Attorney for the Texas State Securities Board's Houston Office; and
Series 7, Series 24, and Series 66 Securities and Investment Adviser Licenses (currently inactive)