John Fahy

John R. Fahy has 15 years experience as a securities attorney. His achievements include: �General Counsel for two NASD-registered Securities Broker-Dealers �Enforcement Attorney for the U.S. Securities and Exchange Commission �Managing Attorney for the Texas State Securities Board's Houston Office �Series 7, Series 24, and Series 66 Securities and Investment Adviser Licenses (currently inactive) Mr. Fahy earned his law and masters degrees from the University of Texas at Austin and his undergraduate degree from Yale. He is admitted to practice law in Texas. He practices securities law, advising broker-dealers, investment advisers, and issuers on regulatory and compliance matters. Mr. Fahy: �Represents clients in inquiries and investigations by the SEC, the NASD, the Texas State Securities Board, and other securities regulators; �Advises clients on compliance issues and procedures; �Represents clients in securities arbitrations; �Keeps clients up-to-date on changes in the regulatory environment to keep the securities regulators from calling; �Prepares Rule 1013 new broker-dealer applications and Rule 1017 material business change applications to the NASD; �Prepares Private Placement Memoranda for Private Offerings; and �Prepares SEC Filings.