Regulatory & Compliance Counsel for the Financial Services Industry
Based in Houston, Texas, The LeGaye Law Firm, P.C. offers deep expertise and practical experience in regulatory, registration, and compliance support services tailored to the financial services industry. With decades of hands-on involvement, the firm is uniquely positioned to provide timely, cost-effective legal guidance to broker-dealers, investment advisers, and other corporate entities navigating today’s complex regulatory environment.
We assist firms and managers in developing, implementing, and maintaining compliance programs that meet evolving federal, state, and self-regulatory requirements.
About Daniel LeGaye
Daniel LeGaye has practiced in the areas of Corporate, Securities, and Business Law since 1980. Over the years, he has successfully represented a wide range of clients—individuals and businesses alike—in commercial transactions, corporate structuring, and regulatory compliance matters. His depth of knowledge and strategic insight make him a trusted advisor in the financial industry.
Practice Areas
Mr. LeGaye’s legal practice focuses on serving clients across the financial sector, including:
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Advising broker-dealers and investment advisers on capital structure, registration, reporting, and regulatory examinations by FINRA, the SEC, and state regulators
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Developing and reviewing supervisory procedures and compliance systems to meet rigorous regulatory standards
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Drafting contracts and operating agreements for both full-service and boutique financial firms
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Conducting internal compliance reviews and examinations to ensure adherence to federal, state, and SRO rules—including AML obligations
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Overseeing preparation of monthly and quarterly financial reports, coordinating with accountants on annual audits for regulatory submission
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Representing clients in connection with securities offerings and reviewing offering materials such as private placement memorandums, escrow agreements, and placement agent agreements
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Guiding clients through the private placement of real estate investment funds
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Structuring partnerships and advising on mergers, acquisitions, and investment banking transactions