top of page


Bacon v. Vann, et al, Cause No. 429-00345-2017, (429th Dist., Collins County, TX). Providing a written declaration as an expert witness as to whether one is required to be registered as an “investment adviser representative” as defined by 7 Tex. Adm. Code §116.1(a)(7) or as a “solicitor” under 7 Tex. Adm. Code §116(a)(9) to share in the ownership of a business providing investment advisory services regulated by the SEC, FINRA, the Investment Advisers Act of 1940, the Texas Securities Act and Texas Administrative Code.

bottom of page