Christopher J. Kelly

Christopher J. Kelly is the former Deputy Head and Acting Head of Enforcement at FINRA who advises clients in high-stakes securities enforcement matters, regulatory investigations, and related arbitrations and litigation. He brings deep experience at the intersection of FINRA, the SEC, state securities regulators, and other civil and criminal authorities, with particular insight into how regulators assess risk, investigate conduct, and pursue disciplinary action.

Chris joined CSG Law after serving as Senior Vice President and Deputy Head of Enforcement at FINRA, where he helped lead a department of more than 350 attorneys, investigators, and support staff. At FINRA, Chris supervised thousands of enforcement investigations and litigations, involving a broad range of issues, including:

• Regulation Best Interest (Reg BI)
• Best execution
• Short-selling
• Market manipulation
• Fraud and insider trading
• Anti-money laundering (AML) violations
• Systemic supervisory failures
• Supervision of online funding portals and fintech broker-dealers

In addition, Chris oversaw FINRA Enforcement’s investigations and disciplinary actions conducted on behalf of the major U.S. exchanges, including the New York Stock Exchange (NYSE), Nasdaq, and the Chicago Board Options Exchange (Cboe). That experience gives Chris an informed perspective on how regulators share information and coordinate examinations, investigations, and enforcement actions.

Cases Chris oversaw at FINRA were featured in major national publications and outlets, including The Wall Street Journal, The New York Times, The Washington Post, and Forbes.

Before FINRA, Chris served in the U.S. Attorney’s Office for the District of New Jersey, including as Deputy Chief of the Criminal Division and Chief of the Economic Crimes Unit. In these roles, Chris oversaw a broad range of complex criminal investigations and prosecutions, including those involving market manipulation, insider trading, and securities fraud. Chris also successfully litigated many of the office’s most significant and high-profile white-collar and securities fraud cases. This background informs his work on matters where regulatory investigations may intersect with broader government scrutiny.

Chris worked as an associate at a Philadelphia-based law firm prior to joining the U.S. Attorney’s Office. He also clerked for the Honorable Joseph E. Irenas, U.S.D.J. for the District of New Jersey.

Chris earned his J.D. from Harvard University and his B.A. from Duke University.

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Honors

• Included in Chambers USA, New Jersey Litigation: Securities (2025-2026)

Award Methodology
*No aspect of this advertisement has been approved by the Supreme Court of New Jersey.

Involvement

• American Bar Association
• New Jersey State Bar Association, Securities Law Committee

Education

• Harvard University (J.D., 1999)
• Duke University (B.A., 1995)

Admissions

• New Jersey