John Fahy
John Fahy
817-878-0547

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John R. Fahy is a seasoned securities attorney who has worked for the U.S. Securities and Exchange Commission and the Texas State Securities Board. His experience includes serving as:

  • General Counsel for two NASD-registered Securities Broker-Dealers
  • Staff Enforcement Attorney for the U.S. Securities and Exchange Commission
  • Managing Attorney for the Texas State Securities Board's Houston Office

In his law practice John is available to:

  • Represent clients in inquiries and investigations by the SEC, the NASD, the Texas State Securities Board, and other securities regulators
  • Advise clients on compliance issues and procedures
  • Represent clients in securities arbitrations
  • Keep clients up-to-date on changes in the regulatory environment to keep the securities regulators from calling
  • Prepare Rule 1013 new broker-dealer applications and Rule 1017 material business change applications to the NASD
  • Prepare Private Placement Memoranda for Private Offerings
  • Prepare SEC Filings
  • Prepare OTCQX disclosures and serve as a Designated Advisor

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