The LeGaye Law Firm, PC jobs and careers

About The LeGaye Law Firm, PC

The LeGaye Law Firm, P.C. delivers deep industry knowledge and practical experience gained through decades of providing legal counsel and coordinating compliance services for the financial services industry. Our focus is on helping broker-dealers and investment advisers address complex legal, regulatory, and operational challenges in a timely and cost-effective manner, ensuring they remain compliant with ever-changing requirements. We advise clients on a wide range of matters, including capital structure, registration, business transitions, financial reporting, regulatory examinations, and responses to FINRA, SEC, and state inquiries. The firm also assists with the design and review of supervisory procedures and compliance systems, the drafting of contracts and agreements, and the conduct of compliance examinations to align with federal, state, and SRO rules, regulations, and AML obligations. In addition, we provide guidance on regulatory financial issues and advise on the structuring and distribution of private and public securities offerings.