Business Details
Your Trusted Partner for Financial Services Regulatory Compliance
The LeGaye Law Firm brings decades of specialized legal expertise to the financial services industry, offering tailored regulatory compliance solutions. Our practice focuses on addressing the complex challenges faced by broker-dealers, investment advisers, and corporate entities. With hands-on experience since 1980, we deliver timely, cost-effective guidance to navigate evolving federal, state, and self-regulatory requirements. Our services include registration support, risk assessments, anti-money laundering compliance, and development of supervisory policies. We conduct internal compliance reviews, draft industry-specific contracts, and assist with financial reporting and securities offerings.Our Houston-based team prioritizes practical solutions that align with both legal standards and business objectives. We represent clients in regulatory examinations and provide ongoing compliance program testing. Our founder's extensive background in corporate and securities law ensures strategic counsel for mergers, acquisitions, and investment banking transactions. We maintain a client-centric approach while upholding the highest standards of legal professionalism. Our track record demonstrates consistent success in helping financial institutions achieve regulatory compliance and operational efficiency.
Services
Broker-Dealer Registration
RIA Registration
Risk Assessments
Anti-Money Laundering
Written Policies
Regulatory Inquiries
Financial Industry Contracts
Ongoing Compliance
Corporate Organization
FINRA Registration
Highlights and features
- We offer 40+ years of specialized experience in financial services regulation
- Our team provides tailored compliance solutions for broker-dealers and RIAs
- We combine legal expertise with practical industry knowledge
- We maintain a proven track record of successful regulatory outcomes
- Our Houston-based practice serves clients nationwide
Services
Broker-Dealer Registration
We guide financial institutions through FINRA, SEC, and state registration processes for broker-dealer entities. Our services include application preparation, policy development, and examination readiness. We help establish compliance frameworks that meet regulatory requirements while supporting business objectives.
RIA Registration
Our team assists investment advisers with SEC and state registration requirements. We develop compliance programs, draft disclosure documents, and prepare for regulatory examinations. We provide ongoing support for policy updates and reporting obligations.
Risk Assessments
We conduct comprehensive risk assessments and mock regulatory exams for financial institutions. Our evaluations identify compliance gaps and provide actionable recommendations. We help implement corrective measures to strengthen regulatory preparedness.
Anti-Money Laundering
We develop and implement anti-money laundering programs tailored to financial institutions' needs. Our services include policy development, transaction monitoring systems, and staff training programs to meet BSA requirements.
Written Policies
We create customized supervisory policies and procedures for financial services firms. Our documentation covers all regulatory requirements while aligning with operational practices. We provide regular updates to maintain compliance with evolving standards.
People
Daniel LeGaye
Founder
Daniel LeGaye has practiced corporate and securities law since 1980. He represents financial institutions in regulatory compliance, mergers, and securities offerings. His expertise includes broker-dealer regulation and investment adviser compliance.
Questions
What financial services law specialties do you offer?
We specialize in broker-dealer regulation, RIA compliance, anti-money laundering programs, and corporate structuring for financial institutions.
How does your firm handle regulatory examinations?
We prepare clients through mock exams, document reviews, and staff training. We provide representation during regulatory examinations and develop corrective action plans.
Do you serve clients outside Texas?
Yes, our Houston-based firm provides services to financial institutions nationwide through remote consultations and on-site support.
What compliance services do you offer?
We offer comprehensive compliance services including policy development, risk assessments, staff training, and ongoing regulatory monitoring tailored to financial institutions.
How do you handle securities offering documentation?
We review and prepare private placement memorandums, escrow agreements, and placement agent agreements for real estate investment funds and other securities offerings.
What payment methods do you accept?
We offer flexible payment options including electronic payments. Specific arrangements can be discussed through our secure client portal.
