Author Archive: Warren Law Group

Warren Law Group Sponsors Keith Hernandez Luncheon with Signature Bank

By Warren Law Group / June 20, 2022
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Warren Law Group had a wonderful time sponsoring Signature Bank‘s Luncheon with Keith Hernandez, former, renowned New York Mets first basemen. The event offered attendees the opportunity to network with one another, enjoy a delicious lunch, and listen to a speech given by Mr. Hernandez. His speech highlighted Keith Hernandez’s renowned career with the New York…

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Broker-Dealer Firms Must be Aware of SEC Regulatory Guidelines

By Warren Law Group / June 16, 2022
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Are you a broker-dealer or in the investment advisory business? If so, you should be aware of the SEC’s recent regulatory charges against Charles Schwab. The SEC charged three investment advisors affiliated with Schwab for failure to disclose that they were allocating client funds in a way that their own internal analyses showed would be…

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Warren Law Group Welcomes Four New Attorneys

By Warren Law Group / June 9, 2022
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Warren Law Group is pleased to welcome four new attorneys to the firm! C.A. Morrison is an experienced cannabis regulatory attorney and entrepreneur, having pioneered one of the first cannabis businesses and non-profits in Denver, Colorado, and will lead our cannabis, hemp, and CBD division at Warren Law Group. Before and during her tenure as…

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What to Know as Crypto and Stablecoin Prices Plummet

By Warren Law Group / May 16, 2022
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Over the last few weeks, stablecoins Terra USD and its sister currency, Luna, have dropped by over 80 percent, leaving investors worried and panicked, especially after crypto surged during the pandemic. Terra USD is an algorithmically designed stablecoin, which means that it coordinates with the US dollar. The USD is experiencing relatively high inflationary pressure…

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Warren Law Group Wins FINRA Expungement

By Warren Law Group / April 29, 2022
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Warren Law Group’s client was wrongfully terminated from Citigroup Global Markets, Inc. for obtaining an SBA loan. WLG attorneys Jon-Jorge Aras and Christopher D. Warren successfully expunged Citigroup’s defamatory FINRA U5 and CRD disclosures and restored their reputation. If you have been wrongfully terminated and defamed for receiving COVID-19 pandemic relief, contact Warren Law Group…

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Welcome, David Szalyga as Corporate Associate!

By Warren Law Group / April 27, 2022
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Warren Law Group is proud to announce David Szalyga as our Corporate Associate. David focuses his practice on securities and corporate law, financial transactions, assists with tech startup companies, and regulatory compliance. David has recently received his MBA from the University of Cambridge and he has received a MA from Kings College and his JD…

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Chris Warren & Todd Kulkin recognized as Super Lawyers “2022 Rising Stars”

By Warren Law Group / April 11, 2022
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Congratulations to Christopher Warren, Managing Partner, and Todd Kulkin, Partner and Chair of Corporate Division, for being selected as part of the Super Lawyers 2022 Rising Stars list in the New York Metro Area. This year is Chris’ first selection as a Super Lawyer, and Todd has been selected every year since 2014. Super Lawyers is a…

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WLG’s FINRA Award for Compensatory and Punitive Damages Makes Headlines

By Warren Law Group / April 6, 2022
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Last week, Warren Law Group secured a $175,000 award in compensatory and punitive damages for our client in regards to a defamatory U5 filing. Jon-Jorge Aras, Partner and Chair of Securities Litigation knew this was going to be an uphill battle as he was up against a high-profile brokerage firm, Commonwealth. This significant case was…

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David Rosenfield - Partner

David Rosenfield Promoted to Partner at WLG

By Warren Law Group / March 14, 2022
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Warren Law Group (WLG) is very pleased to announce the promotion of David Rosenfield to Partner at the firm. David has become the Chair of WLG’s White Collar Defense and Investigations Practice and will collaborate with the firm’s securities and regulatory groups. David will also practice civil and commercial litigation. David is a knowledgeable, practical,…

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