Daniel E. LeGaye

Mr. LeGaye’s practice has included diverse experience with a broad range of clients in the financial industry. This has included:

• Consulting with clients (principally broker/dealer and investment adviser entities) regarding the capital structure, registration, reporting and regulatory examinations of their firms with FINRA, the SEC and various state agencies
• Advising clients on the structure and systematic review of supervisory procedures and compliance systems to meet regulatory requirements
• Preparing contracts and agreements needed by investment banking broker-dealers
• Conducting compliance examinations for clients to ensure alignment with all federal, state and self-regulatory organizations’ rules, regulations and AML requirements
• Supervising the preparation of monthly and quarterly financial reports for clients to meet FINRA and SEC requirements
• Assisting clients with FINRA arbitration proceedings, reviews of offering documents including private offering memorandums, escrow account agreements and placing agent agreements
• Overseeing the private placement of real estate investment funds
• Structuring partnerships, negotiating and packaging the purchase and sale of property as real estate securities (Direct Participation Programs)
• Consulting with accountants on the preparation of annual audits for submission to FINRA, the SEC and states.