The LeGaye Law Firm, P.C., brings depth of knowledge and experience gained from years of hands-on experience in providing legal counsel and coordination of registration and compliance services to the financial services industry. Located in Houston, Texas, the firm’s expertise is targeted to answer and respond to the complex legal and practical questions and challenges facing broker-dealers, investment advisers, and corporate organization entities on a timely and cost-effective basis.
- Corporate Organization
- Broker-Dealer Services
- FINRA, SEC & State Registration Services
- Risk Assessments
- Anti-Money Laundering
- Written Policies
- Financial Industry Contracts
- Regulatory Inquiries
- Financial and FINOP Services
- Distribution and Structuring
- Ongoing Industry Services
- Investment Adviser Services