Employment
Daniel E. LeGaye has previously served as General Counsel and as Executive Vice President of a regulatory consulting firm for over 23 years. He was also General Counsel for Horne Financial Corporation, Horne Securities Corporation and Bankers Capital Securities, where he specialized corporate matterd and in the private placement of real estate securities and investment banking.

Education
J.D., University of Houston Law Center – 1981
B.A., Political Science, University of Houston, 1977
Degree awarded Cum Laude

Bar Admissions and Current Regulatory Registrations
The State Bar of Texas
FINRA Series 28 Qualified (Financial and Operations Principal)

Professional Affiliations
American Bar Association
State Bar of Texas
Houston Bar Association
Montgomery County Bar Association

Speaking Presentations
Because of the depth of Mr. LeGaye’s background and experience, he is a regular speaker on issues including anti-money laundering compliance, regulatory, compliance and exam issues for both broker/dealers as well as investment advisers. He is a speaker for financial industry associations and financial institutions, including:
• SIFMA (Securities Industry and Financial Markets Association)
• NAREIT (National Association of Real Estate Investment Trusts)
• SILA (Securities Industry Licensing Association)
• CIAB (Council of Insurance Agents and Brokers).
• Charles Schwab Institutional
• Mesirow Financial
• RBC Dain
• IMN REIT Conferences
• National Society of Compliance Professionals