Principals of LeGaye Regulatory Support Services have been employed by, and consulted with, a number of broker-dealers on a variety of distribution and structuring matters, including guidance on:
- Merger and acquisition transactions
- Investment banking transactions
- Public and private offerings of securities
- Selling Group Manager and Placement Agents issues related to REITs, mutual fund and variable annuity products, as well as the placement agent issues for private equity, venture capital and hedge fund interests in private offerings.
- Due diligence obligations of broker-dealers with respect to private placements, both as a managing dealer and placing agent.