More About Victor T.Samuel

Victor T.Samuel is the founder of Victor T. Samuel, PLLC, a law firm that provides legal and regulatory counsel across the U.S. financial services sector, with a focus on navigating complex regulatory frameworks and building scalable, compliant businesses.

Victor is widely known for his strategic advisory work with founders and executive teams, helping guide new ventures from formation to regulatory approval and market entry. He regularly supports clients through the FINRA New Membership Application (NMA) and Continuing Membership Application (CMA) processes, and advises on business model development, licensing, governance, and investor communications for companies operating in highly regulated environments.

He has extensive experience interfacing with U.S. and international regulators—including the SEC, FINRA, OCC, and CFTC—on supervisory matters, compliance program design, and enforcement response. Victor previously served at FINRA, where he led a team of examiners and participated in broker-dealer oversight programs. He later held senior leadership roles as National Leader for Regulatory Compliance & AML at RSM US LLP and Senior Regulatory Counsel at Citi, where he advised on regulatory remediation and strategic compliance for institutional and wealth management businesses.

In addition to his legal practice, Victor actively serves as a board member and advisor to fintech and blockchain startups, offering strategic input on product development, market positioning, and long-term risk management. He has also founded and successfully exited multiple ventures in the financial technology space, giving him a unique dual perspective as both a legal advisor and experienced operator.

Victor holds a Juris Doctor from Brooklyn Law School, an MBA in Finance and Investments from Baruch College, and a Certificate in Fintech from the Massachusetts Institute of Technology (MIT).