Christofilis Law

Christofilis Law is a securities regulatory practice led by Charles A. Christofilis, Esq., CAMS. Chuck is a practicing attorney who also serves as fractional Chief Compliance Officer, AML Compliance Officer, Financial and Operations Principal, and Chief Legal Officer at FINRA member firms. He holds Series 4, 7, 24, 27, 63 and 79 and is admitted in New York, New Jersey and Utah. That combination is the point. When you call, you are not walking someone through your problem from the beginning. You are talking to a lawyer who has signed the filing, sat across from the examiner, and lived with the answer afterward. Twenty-eight years on both sides of the house. Investment advisers and broker-dealers, including dually registered and fully disclosed arrangements where rulebooks meet and a supervisory system built for one side quietly fails the other. Also inside bank holding company and insurance structures, where securities rules sit on top of a regulator with its own examiners, timing, and view of the facts. That is a different game, and it is worth having someone who has played it. Christofilis Law performs independent anti-money laundering testing for broker-dealers under FINRA Rule 3310(c), conducted by a CAMS-certified attorney independent of your AML Officer and tested functions, delivered as a written report an examiner can follow without a translator. For investment advisers, we build and test AML programs ahead of the FinCEN adviser rule, effective January 1, 2028. We also handle FINRA new member and continuing membership applications, written supervisory procedures, mock examinations, examination responses, state registration, and digital asset, tokenized securities and ATS matters. If something has landed on your desk and you would rather talk it through than sit with it, call. The first conversation is on us.