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Dan LeGaye is General Counsel and Executive Vice President of MGL Consulting Corporation. He joined MGL Consulting Corporation in 1988. Mr. LeGaye’s responsibilities include consulting with clients regarding capital structures of investment advisor entities, and registration of client firms with the SEC, and various state agencies as investment advisors. Mr. LeGaye consults with clients regarding the capital structure, reporting and regulatory examinations of their firms with FINRA, SEC and various state agencies as broker/dealers. He works with clients to structure and review their supervisory and compliance systems and procedures to comply with regulatory requirements. Mr. LeGaye oversees and conducts compliance examinations of client’s broker/dealers and investment advisors for compliance with federal, state and self-regulatory organizations’ rules, regulations, and AML Compliance.Mr. LeGaye oversees the preparation of monthly and quarterly financial reports for clients with FINRA and SEC. He further assists clients' counsel with FINRA arbitration proceedings, reviews of offering documents including private offering memorandums, escrow account agreements, and placing agent agreements. Mr. LeGaye is available to consult with clients regarding capital structures of their broker/dealer entities, as well as registration of their firms with FINRA, SEC and various state agencies. He is available to interface with accountants on the preparation of annual audits for submission to FINRA, SEC and states.Prior to joining MGL Consulting Corporation, Mr. LeGaye was General Counsel for Horne Financial Corporation and Horne Securities Corporation where his responsibilities included overseeing the private placement of real estate investment funds. Working with Horne Financial’s acquisitions group, he structured partnerships, negotiated and packaged the purchase and sale of property as real estate securities (Direct Participation Programs). He has been involved in the sale, purchase, refinancing and partnership/asset management of over $100-million worth of real estate. Mr. LeGaye holds a Bachelor of Arts in political science and a J.D. degree from the University of Houston. He is a member of the State Bar of Texas, the Montgomery County Bar Association, and the American Bar Association. He has been registered as an Introducing Broker Financial and Operations Principal, a General Securities Representative, a Direct Participation Program Principal and a Direct Participation Program Representative with FINRA and as a securities principal with the Texas Securities Board. | 