The LeGaye Law Firm

The LeGaye Law Firm, P.C. is a renowned legal practice that specializes in providing regulatory, registration, and compliance support services to the financial services industry. With years of experience, our team of experts is dedicated to assisting broker-dealers, investment advisers, and other corporate organization entities in maintaining compliance with various regulatory requirements. Our expertise spans across a range of services including FINRA, SEC, and state registration, written supervisory policies and procedures, risk assessment and management, anti-money laundering, and ongoing compliance services.

Our practice is headed by Daniel LeGaye, who has been actively involved in Corporate, Securities, and Business Law since 1980. Daniel has successfully represented individuals and businesses, guiding them through various commercial transactions, corporate structuring, and regulatory compliance issues. Under his leadership, our firm has developed a strong reputation for providing timely and cost-effective solutions to the complex legal and practical questions faced by our clients.

Our team includes experienced professionals such as Tamara LeGaye, Of Counsel, Michael Schaps, Director of Regulatory Compliance, Peggy Walton, Senior Regulatory Financial Associate, and several others who are dedicated to ensuring that our clients receive the highest level of service and support. We take pride in our ability to provide comprehensive solutions that cater to the unique needs of each client, ensuring that they remain compliant and operate efficiently in the ever-changing regulatory landscape.

Services Offered

Our services are designed to address the diverse needs of the financial services industry. We offer FINRA, SEC, and state registration services, written supervisory policies and procedures, risk assessment and management, anti-money laundering, and ongoing compliance services. Additionally, we provide financial and FINOP services, financial industry contracts and agreements, regulatory responses, distribution, structuring, and due diligence, as well as ongoing compliance services. Our expertise also extends to investment adviser services, including investment adviser registration, written compliance policies and procedures, and mock regulatory exams and risk assessments.

Expertise

At The LeGaye Law Firm, P.C., we possess a deep understanding of the regulatory requirements and compliance issues faced by the financial services industry. Our team has extensive experience in providing support to broker-dealers, investment advisers, and other corporate organization entities. We are committed to staying up-to-date with the latest regulatory changes and updates, ensuring that our clients receive the most effective and compliant solutions.