Financial and Operations Services

Daniel E. LeGaye, a principal in The LeGaye Law Firm, P.C., and has been registered with FINRA as a qualified Series 28 Financial and Operations Principal in excess of 20 years. As a result, Mr. LeGaye acts as a Financial and Operations Principal (FINOP) for a number of broker/dealers. The LeGaye Law Firm P.C., can also provide legal advice on financial issues, and, through its strategic relationships, have regular monthly, quarterly and annual financial filings prepared as legally required for broker-dealer by FINRA, the SEC, and other applicable regulatory authorities. Our Firm also provides on-site reviews of financial records to determine their compliance with the financial reporting, maintenance and financial issues facing a member firm of FINRA.

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The LeGaye Law Firm's expertise is targeted to respond and assist to complex legal and practical questions related to financial services. Please contact The LeGaye Law Firm today.