Regulatory Responses

Response to inquiries from the SEC, FINRA or other regulatory bodies must be prompt, carefully considered and accurate in addressing each issue or deficiency, particularly if allegations of a securities law violation are involved.

The LeGaye Law Firm, P.C. understands our clients and knows their businesses, which enables us to provide prompt, effective regulatory responses to legal regulatory inquiries and allegations at both the state and federal levels. Having extensive experience in responding to SEC, FINRA and other official regulatory inquiries, the law firm is prepared to respond to your legal issues and claims, including regulatory inquires related to cycle and sweep examinations, improper trade practices, and/or disclosure issues.