Business Details
46 Years
experience
Regulatory Compliance Counsel for Financial Services in Houston
The LeGaye Law Firm brings depth of knowledge and experience gained from decades of hands-on legal practice in regulatory, registration, and compliance support services for the financial services industry. Founded in 1980, our Houston-based firm specializes in addressing complex legal challenges faced by broker-dealers, investment advisers, and corporate entities. Our team combines strategic legal expertise with practical industry insights to deliver timely, cost-effective solutions tailored to each client's unique needs. We focus on developing robust compliance programs that align with evolving federal, state, and self-regulatory requirements while maintaining a client-centric approach to legal counsel.With extensive experience in securities law, corporate structuring, and regulatory examinations, we serve as trusted advisors to financial institutions navigating today's complex compliance landscape. Our commitment to excellence is demonstrated through our track record of successful FINRA registrations, RIA compliance programs, and customized legal frameworks that empower clients to operate with confidence and integrity.
Services
Broker-Dealer Registration
RIA Compliance Programs
Anti-Money Laundering
Regulatory Examinations
Corporate Structuring
FINRA Membership Applications
Compliance Training
Written Supervisory Policies
Private Placement Guidance
Business Continuity Planning
Details
- Year established: 1980
Highlights and features
- We offer 45+ years of specialized experience in financial services regulation since 1980
- Our team includes a FINRA Series 28 Qualified Financial and Operations Principal
- We provide tailored compliance solutions for broker-dealers and investment advisers
- We maintain deep expertise in FINRA membership application processes
- Our practice combines legal counsel with practical regulatory implementation strategies
Services
Broker-Dealer Registration
Our FINRA registration services guide clients through the complete New Membership Application process. We assist with business plan development, written supervisory procedures, application preparation, and ongoing compliance support. Our team manages all aspects of the regulatory approval process including pre-membership interview preparation and post-approval implementation.
RIA Compliance Programs
We provide comprehensive RIA registration and compliance services including SEC/state filings, compliance manual development, and regulatory examination preparation. Our solutions cover codes of ethics, books and records retention, business continuity planning, and client disclosure document creation for investment advisory firms.
Anti-Money Laundering
Our AML compliance services help financial institutions meet regulatory requirements through customized program development. We implement transaction monitoring systems, suspicious activity reporting protocols, and employee training programs that align with FINRA, SEC, and federal banking regulations.
Corporate Structuring
We specialize in financial industry entity formation including LLCs, S-Corps, and partnership structures. Our services cover corporate governance documentation, regulatory filings, and ongoing compliance support for financial services firms operating in Texas and nationwide.
Regulatory Examinations
Our regulatory examination services prepare financial institutions for FINRA, SEC, and state audits. We conduct mock exams, risk assessments, and compliance testing while developing corrective action plans to address regulatory deficiencies and improve examination outcomes.
People
Daniel E. LeGaye
Founding Attorney
Practicing since 1980, Daniel LeGaye specializes in financial services regulation with expertise in broker-dealer compliance, RIA registration, and corporate structuring. He holds FINRA Series 28 qualification and has guided numerous firms through regulatory examinations.
Questions
What services do you offer for broker-dealer registration?
We provide full-spectrum FINRA registration services including business plan development, written supervisory procedures, application preparation, and post-approval compliance implementation.
How do you help investment advisers with compliance?
We assist with SEC/state RIA registration, compliance manual development, business continuity planning, and regulatory examination preparation tailored to investment advisory firms.
What areas do you serve?
Based in Houston, Texas, we serve financial institutions nationwide with regulatory compliance solutions for broker-dealers, investment advisers, and corporate entities.
What experience do you have with regulatory exams?
Our team has decades of experience preparing financial firms for regulatory examinations, conducting mock exams, and developing corrective action plans for compliance deficiencies.
Can you help with AML compliance programs?
Yes, we develop customized anti-money laundering programs that include transaction monitoring, suspicious activity reporting protocols, and employee training aligned with regulatory requirements.
What is your approach to corporate structuring?
We specialize in financial industry entity formation with customized governance documentation, regulatory filings, and compliance frameworks for LLCs, S-Corps, and partnership structures.
