The professional staff of the LeGaye Law Firm, P.C. has substantial experience with respect to the financial and operations aspects of our clients. Daniel E. LeGaye, has been registered with FINRA as a qualified Series 28 Financial and Operations Principal (FINOP) in excess of 22 years and Michael Schaps has been registered with FINRA as a qualified Series 27 Financial Operations Principal in excess of 24 years. To this end, Mr. LeGaye and Mr. Schaps provide advice on financial issues to the clients of The LeGaye Law Firm, P.C., and they act as FINOP for a number of broker-dealers.
The LeGaye Law Firm P.C., also prepares monthly, quarterly and annual regulatory financial filings as required by FINRA, the SEC, and other applicable regulatory authorities.
Additionally, we also provide on-site reviews of financial records to determine their compliance with the financial reporting, maintenance and financial issues facing a member firm of FINRA.