Legal, Compliance, Problem Solving.

Christina Hill, your fierce advocate and loyal partner.

Christina Hill

Welcome to C.Hill Securities Law, LLC!

Don’t let the name fool you – I am a fierce advocate and loyal partner. I have spent my career not only reactively defending financial services firms against rigid regulators, disgruntled customers, and other ill-intended third parties, but also proactively helping to avoid trouble in the first place.

So, why “chill”? Because when your integrity and the business you’ve worked hard to build are under fire, emotions run high. It is my job to maintain calm in the storm, to inspire confidence that you and your business are supported, and to ease those emotions so you can focus on what’s most important. It is my job to just be C.HILL.

I provide legal and compliance advice to registered investment advisers, broker dealers, and their people. Whether you have an immediate need for legal defense, are looking to strengthen your compliance program, or something in between, you have come to the right place!

Learn more

Areas of Practice

  • Whether you need guidance on a discreet legal issue, you need legal advice on an ongoing project, or just need someone at the ready for whatever pops up, I am in your corner! I have experience handing a broad spectrum of legal matters inherent in running a financial services business, including:

    • Contract and agreement drafting and review;

    • Customer complaints;

    • Customer account handling issues;

    • Licensing and registration; and

    • Disclosure and reporting (Forms ADV, BD, U4, U5, etc.).

    I provide general legal counsel services at a competitive hourly rate, and also offer packages that can be tailored to fit your particular needs.

  • I have spent more than 20 years developing a niche for helping registered investment advisers and broker-dealers achieve harmony with an extensive, complex, and often murky regulatory framework. I understand that regulatory matters are often involved and time-consuming and can have a significant impact on your business and your reputation. I take the time to understand your unique circumstances and rely on a strategic, proactive, and coordinated approach to protecting your interests and working toward the best possible outcome for your business.

    My regulatory defense experience includes representing clients (both financial services firms and individuals) in various regulatory matters initiated by the SEC, FINRA, and state regulators, including:

    • Document requests and subpoenas;

    • On-the-record testimony;

    • Preliminary and other informal inquiries;

    • Routine and targeted examinations, including responding to deficiency letters;

    • Enforcement investigations, including responding to “Wells” notices and advocating for clients through the Wells process; and

    • Enforcement actions, including negotiating settlements and defending clients in administrative proceedings and civil actions.

  • I have extensive experience representing broker-dealers, investment advisers, and individuals in dozens of matters involving various alternative dispute resolution methods, including FINRA and AAA arbitration; private and FINRA mediation; and other forms of lawyer-negotiated and neutral-assisted settlements. I prefer an up-front and direct approach that focuses on how the relevant facts and applicable law fit into the bigger picture. This approach reduces the “noise,” so that I can help my clients take the best path forward for their particular situation. My experience includes:

    • Customer disputes involving alleged sales practice violations, breach of fiduciary duty, fraud, negligence and other violations;

    • Industry disputes involving breach of contract, compensation, defamation, and other employment-related issues;

  • I learned early on that, though necessarily separate functions, a financial services firm’s legal and compliance needs go hand-in-hand. Throughout my career, I have been fortunate to work closely with my clients’ compliance departments, in-house counsel, and senior management on many common (and not-so-common!) compliance and supervisory issues, including:

    • Policy and Procedures drafting, review, and implementation;

    • Conducting mock audits and annual risk assessments, including preparing reports noting potential deficiencies and recommending remedial action;

    • Drafting customer agreements, statements, and other documentation, including particular focus on required disclosures;

    • Various licensing and registration requirements;

    • Regulatory disclosure items (both individual- and firm-level); and

    • Annual and other-than-annual amendments.

Read more