Securities

Whitaker Chalk’s securities attorneys offer a full range of securities law services, including representation of issuers in initial and secondary public offerings, private offerings, advising public companies on reporting and compliance issues, advising directors and officers on sensitive internal and external corporate governance matters, stock exchange listing requirements, representation in SEC investigations, and NASD, NYSE and other arbitrations.

Fraud & Abuse

Individual and institutional investment in the equity and debt instruments of public and private businesses is a fundamental part of our economic structure. This process of capitalization and wealth accumulation and conservation is complex and dependent on honest, transparent disclosures as well as compliance with a mass of regulations and laws at both the state and federal levels.

Investors depend on these institutions and individuals to abide by the law and be honest in their representations. Some investment advisors and fund managers fail to meet these basic requirements of honesty and disclosure to the material harm of investors.

Our investment fraud and abuse attorneys provide the aggressive, expert representation required to hold those who betray investor’s trust accountable.

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The latest news from Securities:

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...