JOAN C. WALLER

Joan “Jo” Waller represents clients in many aspects of federal and state securities issues. She represent clients in private offerings of securities, mergers and acquisitions, compliance with securities reporting requirements, securities broker/dealer and investment adviser compliance, defense of investigations conducted by and enforcement actions initiated by the Securities and Exchange Commission, the Financial Industry Regulatory Authority, or state securities agencies, representation before stock exchanges in connection with listing or delisting matters, securities arbitrations, and general corporate matters. Our clients include introducing and clearing securities broker/dealers, investment advisers, reporting companies, investment funds, registered individuals, and companies seeking capital through private offerings

 

- PRACTICES

Business Law

Securities

 

- SPEECHES and PUBLICATIONS

Legal Aspects of Banking, Bankers Digest, weekly from 1983 – 1999

 

- EDUCATION

The University of Nebraska (B.A. 1973)

University of Illinois (J.D. 1977)

 

- AFFILIATIONS

State Bar of Texas

U.S. District Court

Northern District of Texas

E: jwaller@gpm-law.com

T: 972-419-8315

F: 972-419-8329

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www.gpm-law.com

 

Unless otherwise specified, the attorneys listed on this website are not certified by the Texas Board of Legal Specialization.

DISCLAIMER

LOCATIONS

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DALLAS PRINCIPAL OFFICE

14801 Quorum Drive #500

Dallas TX 75254

Phone: (972) 419-8300

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HOUSTON SATELLITE OFFICE

Phone: (972) 419-8300