LeGaye Law Firm - Financial & Regulatory Compliance
Tel: 281.367.2454
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← No-Action Guidance on Prompt Forwarding of Customer Funds with Subscription-Way Securities

Legal Alerts

  • DOL Rule in Limbo, But Not Best Interest Standard
  • FINRA Updates Remote Branch Inspection Guidance

Contact Us

2002 Timberloch Drive, Suite 200
The Woodlands, TX 77380
Tel: (281) 367-2454
Fax: (866) 338-6353
Email (click here)
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