We are results-oriented. We seek to understand clients’ business, effectively manage projects, meet deadlines, provide top-notch legal work, and communicate effectively with the client. We also help you maintain good standing with regulators through our understanding of their motivations and processes.
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 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, 2016, 2017, 2018 and 2019
AV-Rated Martindale-Hubbell : Preeminent
Recognized as a Top Attorney by 360West Magazine 2018
Publications & Presentations
John R. Fahy has written an article on The SEC's New Intrastate Offering Exemption
John Fahy Presents The Election's Impact on Securities Regulation
John Fahy spoke to the Dallas Bar Association's Securities Section on the new SEC Regulation A Plus. Dan Zinn of OTC Markets was a co-presenter.
John Fahy gave a presentation to the Tarrant County Bar Association Corporate Counsel Section entitled: Double Back-Pay, Attorneys’ Fees, Reinstatement and a Ten Year Statute of Repose - The SEC’s New Bounty System and its Whistleblower Anti-Retaliation Protections.
John Fahy was elected to a two-year term on the Council of the Business Law Section for the State Bar of Texas in June 2014
John Fahy and Wayne Whitaker submitted a comment letter to the U.S. Securities and Exchange Commission on the SEC’s Crowdfunding rule proposal on January 7, 2014.
John Fahy and Wayne Whitaker submitted an extensive comment letter to the U.S. Securities and Exchange Commission September. 30, 2013. (“SEC”) on the SEC’s proposed changes to SEC Regulation D Rule 506.
John Fahy authored an Amicus Brief in the Texas Supreme Court on shareholder oppression claims.
SEC v. Tambone: First Circuit Rejects the SEC's Approach to Scope of Rule 10b-5(b); ABA Commercial & Business Litigation. August 2010.
Be mindful of broker-dealer requirements in oil and gas private placements Oil & Gas Financial Journal. August 2006.
