Thomson Reuters recently released an article based on its the newly updated “Practitioner’s Guide for Broker-Dealers,” a multi-chapter resource from Thomson Reuters Regulatory Intelligence. The guide provides up-to-date commentary on … Continue reading Chapters in Thomson Reuters Broker-Dealer Guide Co-Authored by LeGaye Law Firm
The Financial Industry Regulatory Authority (FINRA) has fined Scottrade, Inc. $2.6 million for failing to retain a large number of securities-related electronic records in the required format, and for failing … Continue reading Firm Fined $2.6 Million for Failures in Electronic Records and Email Retention
The LeGaye Law Firm, a law firm focused on compliance and regulatory issues for the financial industry, is pleased to announce its upcoming attendance at the 2015 National Society of Compliance Professionals … Continue reading LeGaye Law Firm to Attend the 2015 NSCP National Conference
On October 6, 2015, Daniel LeGaye of The LeGaye Law Firm will be a co-speaker at the 2015 SILA National Education Conference. The panels’ topic is “Walk the Line or … Continue reading Daniel LeGaye Guest Speaker on Current Regulatory Enforcement Environment
Securities and Exchange Commission Chair Mary Jo White led a multi-agency event on July 15 to support the Military Consumer Protection Day 2015, highlighting how service members can best protect … Continue reading SEC Chair May Jo White Participates in Military Consumer Protection Day
Daniel LeGaye, Managing Partner of the LeGaye Law Firm PC, was quoted in a March 17, 2015 article on the broadening impact on the on-boarding precess of financial firms that … Continue reading LeGaye Law Firm Quoted: Article on Client On-Boarding
The FINOP Exchange Announces a Virtual Presentation on Cybersecurity in the Financial Industry by presents virtual cybersecurity. Daniel LeGaye & Michael Schaps of The LeGaye Law Firm will focus on … Continue reading The LeGaye Law Firm Delivers Cybersecurity Presentation
The LeGaye Law Firm is happy to announce that they have joined Patten Training and Review’s FINOP Exchange. The FINOP Exchange provides networking opportunities for CFOs and FINOPs of broker-dealer … Continue reading LeGaye Law Firm joins FINOP Exchange
An article by Daniel LeGaye of the LeGaye Law Firm titled “New Regulatory Guidance for Business Continuity Planning” was cited in a Blog titled “Preparing for disaster: Strategies for extending … Continue reading The LeGaye Law Firm Cited in Blog on Business Continuity
Daniel E. LeGaye, Esq., Managing Partner of The LeGaye Law Firm P.C., has been recognized by Elite American Lawyers for dedication, achievements, and leadership in corporate law. For more information, … Continue reading Daniel E. LeGaye receives recognition
John M. Stahl, Esq., who is a freelance legal writer who is a graduate of Babson College and Vermont Law School, stated in a press release that he word on … Continue reading LeGaye Law Firm Quoted in Article
John F.Roth, SEC SEC Compliance, Regional Center Selection, posted a blog posted titled “Securities Law and Finder’s Fees in the EB-5 Field”, in which The LeGaye Law Firm’ s article … Continue reading The LeGaye Law Firm Cited in Article
Financial industry veteran Michael R. Schaps has joined The LeGaye Law Firm as Director of Regulatory Compliance. Schaps brings over 20 years of real world business experience in dealing with … Continue reading Michael R. Schaps joins LeGaye Law Firm