The LeGaye Law Firm, P.C., brings depth of knowledge and experience gained from years of hands-on experience in providing regulatory, registration, compliance support services to the financial services industry. Located in Houston, Texas, the firm's expertise is targeted to answer and respond to the complex legal and practical questions, issues and challenges facing broker-dealers, investment advisers, and other corporate organization entities on a timely and cost-effective basis.
The regulatory advice and compliance services provided focuses on assisting firms and managers in maintaining their compliance with a multitude of regulatory requirements that they face on a regular basis. Daniel LeGaye has been involved actively in Corporate, Securities and Business Law since 1980. Daniel has successfully represented both individuals and businesses and guided them in a wide variety of commercial transactions, corporate structuring and regulatory compliance issues.
Mr. LeGaye's primary career focus.
The regulatory advice and compliance services provided focuses on assisting firms and managers in maintaining their compliance with a multitude of regulatory requirements that they face on a regular basis. Daniel LeGaye has been involved actively in Corporate, Securities and Business Law since 1980. Daniel has successfully represented both individuals and businesses and guided them in a wide variety of commercial transactions, corporate structuring and regulatory compliance issues.
Mr. LeGaye's primary career focus.
Services
The securities and financial industry requires contracts be negotiated, agreements drafted and records maintained, both for a business and regulatory function.
As a result of The LeGaye Law Firm, P.C.'s extensive legal experience in broker/dealer issues, the firm brings a unique mix of industry and regulatory experience, which assists our clients avoid problems and efficiently implement and manage corporate agreements, contracts and other necessary forms of documentation.
Legal services offered include advice related to the negotiation and drafting of contracts or agreements and review of proposed or existing contracts, agreements and other documents to ensure legal compliance with current regulatory requirements.
As a result of The LeGaye Law Firm, P.C.'s extensive legal experience in broker/dealer issues, the firm brings a unique mix of industry and regulatory experience, which assists our clients avoid problems and efficiently implement and manage corporate agreements, contracts and other necessary forms of documentation.
Legal services offered include advice related to the negotiation and drafting of contracts or agreements and review of proposed or existing contracts, agreements and other documents to ensure legal compliance with current regulatory requirements.
DISCLAIMER: These forms and documents are provided by The LeGaye Law Firm P.C., and are intended for informational purposes only and are not to be considered as legal advice, nor does it establish an attorney-client relationship.
They are posted here as a preliminary resource guide, and starting point for those seeking to address certain compliance and regulatory issues, and are not intended to address every issue or question that could arise with respect to the related subject matter in any individual broker-dealer or investment advisory firm.
They are posted here as a preliminary resource guide, and starting point for those seeking to address certain compliance and regulatory issues, and are not intended to address every issue or question that could arise with respect to the related subject matter in any individual broker-dealer or investment advisory firm.
Response to inquiries from the SEC, FINRA or other regulatory bodies must be prompt, carefully considered and accurate in addressing each issue or deficiency, particularly if allegations of a securities law violation are involved.
The LeGaye Law Firm, P.C. understands our clients and knows their businesses, which enables us to provide prompt, effective regulatory responses to legal regulatory inquiries and allegations at both the state and federal levels.
Having extensive experience in responding to SEC, FINRA and other official regulatory inquiries, the law firm is prepared to respond to your legal issues and claims, including regulatory inquires related to cycle and sweep examinations, improper trade practices, and/or disclosure issues.
The LeGaye Law Firm, P.C. understands our clients and knows their businesses, which enables us to provide prompt, effective regulatory responses to legal regulatory inquiries and allegations at both the state and federal levels.
Having extensive experience in responding to SEC, FINRA and other official regulatory inquiries, the law firm is prepared to respond to your legal issues and claims, including regulatory inquires related to cycle and sweep examinations, improper trade practices, and/or disclosure issues.
The professional staff of the LeGaye Law Firm, P.C. has substantial experience with respect to the financial and operations aspects of our clients.
Daniel E. LeGaye, has been registered with FINRA as a qualified Series 28 Financial and Operations Principal (FINOP) in excess of 22 years and Michael Schaps has been registered with FINRA as a qualified Series 27 Financial Operations Principal in excess of 24 years.
To this end, Mr. LeGaye and Mr. Schaps provide advice on financial issues to the clients of The LeGaye Law Firm, P.C., and they act as FINOP for a number of broker-dealers.
Daniel E. LeGaye, has been registered with FINRA as a qualified Series 28 Financial and Operations Principal (FINOP) in excess of 22 years and Michael Schaps has been registered with FINRA as a qualified Series 27 Financial Operations Principal in excess of 24 years.
To this end, Mr. LeGaye and Mr. Schaps provide advice on financial issues to the clients of The LeGaye Law Firm, P.C., and they act as FINOP for a number of broker-dealers.
Daniel E. LeGaye has represented broker-dealers on a variety of distribution and structuring matters, including legal advice on mergers and acquisitions, the public and private offering context for selling group managers and placement agents affiliated with REITs, mutual fund and variable annuity products, as well as the placement agents of private equity, venture capital and hedge fund interests in private offerings.
Additionally, the firm has provided extensive advise with respect to the due diligence obligations of broker-dealers with respect to the various products, both as a managing dealer and placing agent.
Additionally, the firm has provided extensive advise with respect to the due diligence obligations of broker-dealers with respect to the various products, both as a managing dealer and placing agent.
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