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.