The LeGaye Law Firm, PC
University of Houston Law Center
1977 - 1980
Daniel LeGaye has been involved in Corporate, Securities and Business Law since 1980. He has represented both individuals and businesses in a wide variety of commercial transactions, corporate structuring and regulatory compliance issues. His main focus has been the financial and securities industry, where he has worked closely with institutions, broker/dealers and investment advisers to ensure they are compliant with applicable laws, rules and regulations.
Financial Industry Experience
Mr. LeGaye’s practice has included diverse experience with a broad range of clients in the financial industry. This has included:
- Consulting with clients (principally broker/dealer and investment adviser entities) regarding the capital structure, registration, reporting and regulatory examinations of their firms with FINRA, the SEC and various state agencies
- Advising clients on the structure and systematic review of supervisory procedures and compliance systems to meet regulatory requirements
- Preparing contracts and agreement needed by full service Broker/Dealers and Investment Advisera
- Conducting compliance examinations for clients to ensure alignment with all federal, state and self-regulatory organizations’ rules, regulations and AML requirements
- Supervising the preparation of monthly and quarterly financial reports for clients to meet FINRA and SEC requirements
- Assisting clients with FINRA arbitration proceedings, reviews of offering documents including private offering memorandums, escrow account agreements and placing agent agreements
- Overseeing the private placement of real estate investment funds
- Structuring partnerships, negotiating and packaging the purchase and sale of property as real estate securities (Direct Participation Programs)
- Consulting with accountants on the preparation of annual audits for submission to FINRA, the SEC and states.
The LeGaye Law Firm, PC
The LeGaye Law Firm brings depth of knowledge and experience gained from years of hands-on experience in providing legal counsel and coordination of compliance services to the financial services industry. The firm’s expertise is targeted to answer and respond to the complex legal and practical questions and challenges facing broker-dealer and investment advisory entities on a timely and cost-effective basis. The legal advice and compliance services provided assists firms and managers in maintaining compliance with a multitude of regulatory requirements.