RIA Regulatory Responses

Legal responses to inquiries from the SEC 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. That enables the firm 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 inquiries, the firm is prepared to respond to issues or claims, including regulatory inquires related to cycle and sweep examinations, improper trade practice issues, and or other regulatory issues.