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No professional misconduct found.
Overview
Practice Areas
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40% Administrative Law
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20% Securities / Investment Fraud
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20% Litigation
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20% Financial Markets And Services
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Contact Information
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References
Client Reviews
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Résumé
License
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36 years since Dan R. Waller was first licensed to practice law.
| State |
License status |
Year acquired |
Last updated by Avvo |
| Texas |
Eligible To Practice In Texas
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1976 |
03/09/2011 |
We have not found any instances of professional misconduct for this lawyer.
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Education
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| School |
Major |
Degree |
Graduated |
| St Mary's University of San Antonio School of Law |
Law |
JD - Juris Doctor |
1976 |
| University of Illinois, Urbana-Champaign |
Political Science |
BA - Bachelor of Arts |
1973 |
| University of Illinois, Urbana-Champaign |
Economics |
BA - Bachelor of Arts |
1973 |
See all 3 degrees
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Associations
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| Position |
Association Name |
Duration |
| Member |
American Bar Association |
1993-present
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| Chairman |
Subcommittee on State Securities Enforcement |
1993-2003
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| Chairman |
American Association of Attorney-Certified Public Accountants |
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| Member |
State Bar of Texas |
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See all 4 association entries
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Portfolio
Publications
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| Article |
Publication |
Date |
| Securities Law Survey of Significant Federal Decisions |
Texas Tech Law Review |
1994 |
| Securities Law Survey of Significant Federal Decisions |
Texas Tech Law Review |
1993 |
| The Regulation of Financial Planners |
Dallas Chapter of Texas Society of Certified Public Accountants |
1988 |
| Criminal Prosecution Under the Texas Securities Act |
Voice For the Defense - Texas Criminal Defense Lawyers Association |
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See all 4 publications
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Speaking Engagements
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| Presentation Name |
Conference |
Date |
| SEC Enforcement Proceedings and Policies - The Defense Perspective |
SEC Enforcement Training Seminar |
2003 |
| Pitfalls of Practice Before the Securities and Exchange Commission |
University of Texas Securities Regulation Conference held in Dallas |
2003 |
| The Regulation of Investment Advisers and Financial Planners and The Investment Advisers Act of 1940 |
Dallas/Fort Worth Society of the Institute of Certified Financial Planners |
1994 |
| Regulation D and Other Statutory Exemptions From Securities Registration |
National Energy Network Conference, Dallas |
1993 |
| An Overview of the Securities Enforcement Remedies and Penny Stock Reform Act of 1990 |
University of Texas Conference on Securities Regulation and Business Law Problems |
1993 |
| Regulation of Investment Advisers and Financial Planners Under State and Federal Law |
Institute of Certified Financial Planners |
1990 |
| Litigation of a Securities Transaction: The Plaintiff's Causes of Action |
University of Texas Conference on Securities Regulation and Business Law Problems, Austin |
1988 |
| Litigation of a Securities Transaction: The Plaintiff's Causes of Action |
University of Texas Securities Regulation Conference |
1987 |
See all 8 speaking engagements
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