Author Archive: Christopher D. Warren
Governor Hochul and New York State’s decision to ban cryptocurrency mining could be detrimental to innovation and will likely impede efforts to regulate the blockchain industry. Gov. Kathy Hochul executed a draconian ban on cryptocurrency mining. Hochul’s rationale is primarily based on concerns about the high energy consumption of the mining process, despite many other…
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How long do SEC investigations take? First, we need to understand them. Simply stated, an SEC investigation is an inquiry by the United States Securities and Exchange Commission (SEC) to determine whether there has been a violation of federal securities laws. The SEC can investigate any person or entity it believes may have violated securities…
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The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization, a not-for-profit, non-governmental regulator for all broker-dealer firms and brokers that sell securities in the United States. FINRA protects investors by ensuring that broker-dealers and brokerage firms operate fairly and honestly. Brokers and FINRA-registered financial professionals often come to us when looking to settle a…
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Under FINRA Rule 2080, broker-dealer firms, offices, and professionals in the securities industry can request customer disputes be expunged from FINRA’s public records. When reputation is so important to client trust and retention, expungement is a no-brainer. But FINRA has high standards of review and a limited appeals process to challenge decisions – you must…
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FOR IMMEDIATE RELEASE Sankeetha Selvarajah: Of Counsel to Warren Law Group [NEW YORK, NEW YORK, November 2022] Warren Law Group is pleased to announce Sankeetha Selvarajah as Of Counsel to the firm. Sankeetha is a civil transactional attorney with an emphasis on general business law and mergers and acquisitions. She works with clients in the…
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The US Department of the Treasury’s Office of Foreign Assets Control (OFAC) and Financial Crimes Enforcement Network (FinCen) announced that Bittrex, a cryptocurrency exchange, was fined $24 million for breaking U.S. sanctions. This is a record-high penalty that the government has imposed on a crypto business for violating sanctions. For over three years, Bittrex allowed…
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FOR IMMEDIATE RELEASE John J. Keenan: Partner at Warren Law Group [NEW YORK, NEW YORK, October 2022] Warren Law Group is pleased to announce John Keenan as Partner of the firm. John has over 20 years of experience as an attorney, specializing in commercial litigation, international commercial litigation, entertainment law, cross-border transactions, cross-border bankruptcy, and…
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FOR IMMEDIATE RELEASE Scott J. Oh: Partner at Warren Law Group [NEW YORK, NEW YORK, September 2022] — Warren Law Group is pleased to announce Scott J. Oh as a Partner. Scott brings twenty-five years of transactional and business experience to middle-market companies. Scott has extensive experience in complex business transactions, federal, state &…
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The Financial Industry Regulatory Authority (FINRA) is a self-regulatory agency that oversees all activity within the securities industry. One common area of regulatory scrutiny is customer complaints. Customers of brokers and broker-dealers can file written complaints related to the management of their investments. A written customer complaint (and in some cases oral complaints) becomes part…
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