Providing legal counsel and coordination of compliance services to the financial services industry. The firm’s expertise is targeted to answer and respond to the complex legal and practical questions and challenges facing broker-dealer and investment advisory entities on a timely and cost-effective basis.

40 years

The securities and financial industry requires contracts be negotiated, agreements drafted and records maintained, both for a business and regulatory function. As a result of The LeGaye Law Firm, P.C.'s extensive legal experience, the firm brings a unique mix of industry and regulatory experience, which assists our clients avoid problems and efficiently implement and manage corporate agreements, contracts and other necessary forms of documentation.

40 years

The LeGaye Law Firm, PC offers extensive experience in all aspects of entity formation, including the corporate formation (LLCs, S-Corps, etc.) of the various entities utilized in the financial industry and provide guidance, legal advice and corporate documentation to directors, officers related to the corporate activities of the respective companies.

40 years

Daniel E. LeGaye has represented broker-dealers on a variety of distribution and structuring matters, including legal advice on mergers and acquisitions, the public and private offering context for selling group managers and placement agents affiliated with REITs, mutual fund and variable annuity products, as well as the placement agents of private equity, venture capital and hedge fund interests in private offerings.

40 years