Background

John R. Fahy is a seasoned securities attorney with significant regulatory experience, including serving as an Enforcement Attorney for the U.S. Securities and Exchange Commission and the Texas State Securities Board. His extensive regulatory experience means that he has a great relationship with regulators, helping him navigate the complex SEC system. He’s also served as general counsel of two broker-dealers and an investment adviser. He currently chairs the Securities Law Committee and serves on the Council of the State Bar of Texas’s Business Law Section.

John practices securities law, advising broker-dealers, investment advisers, and issuers on regulatory and compliance matters. He helps ensure that people seeking venture capital understand the nuances and hurdles so they can be set up correctly from the beginning in order to avoid complex and costly security enforcement issues. John is experienced in preparing public and private offering documents, SEC filings and corporate documentation. He also represents clients in inquiries and investigations by the SEC, FINRA, the Texas State Securities Board, and other securities regulators and advises on compliance issues.

Awards & Recognitions

Named a Top Attorney in Securities Law, Fort Worth, Texas Magazine for 2007, 2008, 2010, 2011, 2012 and 2014, 2015 and 2016

AV-Rated Martindale-Hubbell®: Preeminent™

Areas of Practice

Broker-Dealers

FINRA

Investment Advisers

Private Offerings/Regulation D

Public Corporations

Securities

Securities Enforcement

Texas State Securities Board

U.S. Securities and Exchange Commission (SEC)

Associations & Memberships

Founder and former chapter president of Federal Bar Association – Fort Worth Chapter

Currently Chair of Securities Law Committee of State Bar of Texas Business Law Section

Texas Bar Foundation Life Fellow

American Bar Association

Tarrant County Bar Association

 

 

Education

  • JD, University of Texas School of Law
  • Masters of Public Affairs, University of Texas
  • BA Yale University

Bar Admissions

  • Texas Bar
7/14/17

John Fahy quoted in Legal Newline

“John Fahy was quoted on statute of limitations and FINRA in Legal Newsline.”  Article Link
7/11/17

Whitaker Chalk proudly announces 29 of 36 attorneys selected as “2017 Top Attorneys”

Whitaker Chalk Swindle & Schwartz PLLC proudly announces 29 of our 36 attorneys have been selected as "2017 Top Attorneys in Tarrant...
5/1/17

John R. Fahy has written an article on the SEC’s new Intrastate Exemption

John R. Fahy has written an article on "The SEC's New Interstate Offering Exemption". Read the Article Here
11/11/16

John Fahy Presents “The Election’s Impact on Securities Regulation”

John Fahy Presents "The Election's Impact on Securities Regulation" Read the Article here.
12/22/15

John R. Fahy quoted in Forbes Online

John R. Fahy was quoted in Forbes Online about being mindful of who the client is. Please read the article here:  Forbes...
6/22/15

John Fahy spoke on the SEC Regulation A Plus to the Dallas Bar Association’s Securities Section

John Fahy spoke to the Dallas Bar Association’s Securities Section on the new SEC Regulation A Plus.  Dan Zinn of...
5/15/15

John Fahy spoke to the BBC regarding attempted Avon stock manipulation

John Fahy spoke to the BBC during the evening drive time regarding the recent attempt to manipulate Avon stock.   Please listen...
5/14/15

John Fahy quoted in Forbes Online regarding attempted Avon stock manipulation

John R. Fahy was extensively quoted in Forbes Online about an attempt to manipulate Avon stock with a fraudulent tender...
1/14/14

John Fahy has Written an Article: “The JOBS Act in 2014-With Rulemaking Update”

John Fahy has written an article about the Jumpstart Our Business Startups Act (“JOBS Act”) in 2014.  Read the article...
1/7/14

John Fahy and Wayne Whitaker Submitted a Comment Letter to the U.S. Securities and Exchange Commission

John Fahy and Wayne Whitaker submitted a comment letter to the U.S. Securities and Exchange Commission on the SEC’s Crowdfunding...
9/30/13

John Fahy and Wayne Whitaker Submitted an Extensive Comment Letter to the U.S. Securities & Exchange Commission

John Fahy and Wayne Whitaker submitted an extensive comment letter to the U.S. Securities and Exchange Commission (“SEC”) on the...
9/10/13

John Fahy Appointed Chair of the Texas State Bar Business Law Section’s Securities Committee

John Fahy was appointed the chair of the Texas State Bar Business Law Section’s Securities Committee. The Securities Committee helps...
9/6/13

John Fahy was quoted on Forbes.com about an Upcoming Supreme Court case

John Fahy was recently quoted on Forbes.com, the companion website to Forbes magazine, about an upcoming Supreme Court case relating...