Type Of Business:
Law firm
Expertise:
Corporate, security and business law
Major Product/SVS:
Legal services
Hobbies/Sports:
Camping; Hiking; Biking
Education Degrees:
JD, The University of Houston Law Center (1981); Bachelor of Arts in Political Science, University of Houston (1977)
Affiliations Awards:
Houston Bar Association; Montgomery County Bar Association; Bar Admission, State Bar of Texas; American Bar Association; National Society of Compliance Professionals
Date of Distinction:
5/31/2011
What do you feel separates you from the rest of the professionals in your industry?:
Staying focused on the practice separates him from others.
How would you like to be remembered by your peers?:
He would like to be remembered for his character and ethics.
Charity:
The Northern Branch Office Scout Training Team, Inc.; American Red Cross; Boy Scouts of America
Number Of Years In Profession:
31
Number Of Years In Current Position:
3
What Does He/She Attribute Success To:
He attributes his success to his passion for the legal and finance industries.
Why did you become involved in your profession or industry?:
He became involved in his profession after transitioning into investment banking and securities during the late 1980s as a transactional attorney, and enjoying the challenges of structuring, documenting and implementing transactions, as they enhanced his appreciation of the value of blending legal and business practices.
Extended Bio Profile:
Mr. LeGaye represented both individuals and businesses in a wide variety of commercial transactions, corporate structuring and regulatory compliance issues. His main focus has been the financial and securities industry, where he has worked closely with institutions, brokers, dealers and investment advisors to ensure they are compliant with applicable laws, rules and regulations.
Position Responsibilities and Duties:
Consulting with clients regarding 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 full-service brokers, dealers and investment advisors; Conducting compliance examinations for clients to ensure alignment with all federal, state and self-regulatory organizations; Monitoring the preparation of monthly and quarterly financial reports for clients to meet FINRA and SEC requirements; Assisting clients with FINRA arbitration proceedings; Reviewing 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; Consulting with accountants on the preparation of annual audits for submission to FINRA, the SEC and states
Education Certifications:
FINRA Series 28 Qualified
Awards/Honors:
Speaking Presentation, Securities Industry and Financial Markets Association; Speaking Presentation, National Association of Real Estate Investment Trusts; Speaking Presentation, Securities Industry Licensing Association; Speaking Presentation, Council of Insurance Agents and Brokers; Speaking Presentation, Charles Schwab Institutional; Speaking Presentation, Mesirow Financial; Speaking Presentation, RBC Dain; Speaking Presentation, IMN REIT Conferences
Where Will You Be In 5 Years:
In five years, Mr. LeGaye intends to grow professionally and remain current with changes in the financial industry.