Wayne Whitaker
Partner
After obtaining his Masters in Tax from SMU Law School in Dallas, Texas, Wayne served six years with the US Securities and Exchange Commission in Fort Worth, Texas where he gained experience in fraud enforcement litigation, broker dealer regulation and registration of securities. Upon entering private practice in 1978, he immediately began representing public companies in all areas of securities compliance, general corporate needs as well as mergers and acquisitions.
In addition to advising companies in their routine reporting obligations including Form 10-K, Form 10-Q, Form 8-K, and Proxies he has advised his clients as to matters involving their public marketplaces such as the NYSE, AMEX and NASDAQ. He has extensive experience in structuring and representing both the buyer and seller in merger and acquisition activities, ranging from the small private company transactions to large public transactions involving filings with both the SEC and under the Hart-Scott-Rodino Antitrust Improvements Act of 1976.
Wayne's corporate experience includes representing clients in public offerings, private securities offerings, mezzanine and later stage financings and matters of sensitive corporate governance issues. He has a unique appreciation for issues confronting the Board of Directors, as he served on the board of an AMEX traded company and was its Chairman for a period. He has served as counsel to both claimants and respondents in FINRA and NYSE arbitration proceedings.
Since 1988 Wayne has been active in representing investor owned hospital corporations in all aspects of their activities, including acquiring, selling and developing hospitals, licensure, raising capital, negotiating and documenting loan agreements and general corporate and contract issues.
In addition Wayne routinely advises clients regarding compliance with the various exemptions from registration for the offering of securities including the drafting of private offering memorandums.
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