Press

Chapters in Thomson Reuters Broker-Dealer Guide Co-Authored by LeGaye Law Firm

News/Commentary, Press

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 topics pertaining to broker-dealer regulatory issues and offers practitioner tips on dealing with these important issues on a day-to-day basis. Each chapter of the Broker-Dealer … Continue reading Chapters in Thomson Reuters Broker-Dealer Guide Co-Authored by LeGaye Law Firm →

Firm Fined $2.6 Million for Failures in Electronic Records and Email Retention

Legal Alerts, Press, ,

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 to retain certain categories of outgoing emails.  Additionally, FINRA set forth in its findings that Scottrade also did not have a reasonable supervisory system in … Continue reading Firm Fined $2.6 Million for Failures in Electronic Records and Email Retention →

LeGaye Law Firm to Attend the 2015 NSCP National Conference

News/Commentary, Press

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 (NSCP) National Conference in National Harbor, Maryland, November 1-4, 2015. In attendance will be Daniel E. LeGaye and Mr. Michael Schaps, who bring with them a seasoned … Continue reading LeGaye Law Firm to Attend the 2015 NSCP National Conference →

Daniel LeGaye Guest Speaker on Current Regulatory Enforcement Environment

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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 Face Enforcement” and the presentation is meant to provide insight into the current regulatory and enforcement environment impacting broker-dealers and investment advisers – and the … Continue reading Daniel LeGaye Guest Speaker on Current Regulatory Enforcement Environment →

SEC Chair May Jo White Participates in Military Consumer Protection Day

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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 themselves and their finances from fraud and identity theft. Service members and their families are frequent targets for financial fraud and identity theft.  Military Consumer … Continue reading SEC Chair May Jo White Participates in Military Consumer Protection Day →

LeGaye Law Firm Quoted: Article on Client On-Boarding

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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 is  presented by new regulations regarding client due-diligence process proposed by FinCEN to backstop FACTA and documentation of disclosures related to conflicts of interest disclosures.    … Continue reading LeGaye Law Firm Quoted: Article on Client On-Boarding →

The LeGaye Law Firm Delivers Cybersecurity Presentation

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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 the current threats and trends that permeate the cybersecurity landscape for the financial industry. This presentation will take place virtually from 11:00 am to 12:30 … Continue reading The LeGaye Law Firm Delivers Cybersecurity Presentation →

The LeGaye Law Firm Cited in Blog on Business Continuity

Press

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 continuity” which was posted by Ebony Hillsman, on the CBeyond Expert Advice Center.  The LeGaye Law firm article cited supported Ms. Hillsman’s position that small … Continue reading The LeGaye Law Firm Cited in Blog on Business Continuity →

Michael R. Schaps joins LeGaye Law Firm

Press,

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 broker-dealer regulatory and compliance issues to The LeGaye Law Firm. In the press release issued on February 10, 2010, Daniel E. LeGaye, Founder and Managing … Continue reading Michael R. Schaps joins LeGaye Law Firm →