Legaye Law Firm, PC

About

The LeGaye Law Firm’s legal services include advising broker-dealers and investment advisers on the regulatory aspects of the financial industry including advising clients, on issues regarding their capital structure, registration, reporting and regulatory examinations and responses of their firms by FINRA, the SEC and various state agencies; advising clients on the structure and systematic review of supervisory procedures and compliance systems to meet complex regulatory requirements; drafting contracts and agreements for full service and boutique broker-dealers and investment advisers; conducting and supervising compliance examinations to ensure alignment with all federal, state and self regulatory organizations rules, regulations and AML requirements, advising on regulatory financial issues and providing advice on distribution and structuring issues related to the private and public placement of securities.