The Legaye Law Firm Pc Careers in Houston, TX

The LeGaye Law Firm, P.C., brings depth of knowledge and experience gained from years of hands-on experience in 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. The legal advice and compliance services provided assists firms and managers in maintaining compliance with a multitude of regulatory requirements. The LeGaye Law Firm’s services include advising broker-dealers and investment advisers on the regulatory and compliance issues, including advising clients on issues regarding their capital structure, registration, changes in business activities, financial reporting, preparation for regulatory examinations and regulatory responses for inquiries by FINRA, the SEC and various state agencies; advising clients on the structure and