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Van Ray Financial, LLC; Christopher Files – Statement of Charges – S-25-3913-25-SC01

Case summary

On June 18, 2025, the Washington State Department of Financial Institutions Division of Securities entered a Statement of Charges (S-25-3913-25-SC01) against Van Ray Financial, LLC; Christopher Files.

Order details

Order File: S-25-3913-25-SC01

Laws & Rules: RCW 21.20.020

Penalties/Remedies:

Intent to order:

  • Cease and desist;
  • Fines & costs;
  • Disgorgement;
  • Suspension

Allegations

  • From December 10, 2021, to July 1, 2024, Respondent Christopher Files knowingly placed trades and deducted fees from a deceased client’s account without the authority to do so

The Respondents have a right to request a hearing on the Statement of Charges.  

Order file

View order file