Author Archive: Christopher D. Warren

people settling a FINRA dispute

How Does FINRA Determine the Standards for Expungement of Customer Dispute Information?

By Christopher D. Warren / January 11, 2023
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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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What Findings Are Required for FINRA Expungement?

By Christopher D. Warren / December 13, 2022
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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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Sankeetha Selvarajah - Of Counsel

Warren Law Group Welcomes Sankeetha Selvarajah as Of Counsel

By Christopher D. Warren / November 15, 2022
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FOR IMMEDIATE RELEASE                                                      Contact: Katie Lenda Email: katie@warren.law 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…

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Crypto Exchange Platform Charged by OFAC and FinCen

By Christopher D. Warren / November 1, 2022
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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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John J. Keenan - Partner

Warren Law Group Welcomes John Keenan as Partner

By Christopher D. Warren / October 19, 2022
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FOR IMMEDIATE RELEASE                                                      Contact: Katie Lenda Email: katie@warren.law 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,…

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Warren Law Group Welcomes Scott J. Oh as Partner

By Christopher D. Warren / September 22, 2022
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                                             FOR IMMEDIATE RELEASE Contact: Katie Lenda Email: katie@warren.law                                                                      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…

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What Type of Information Can Be Expunged Under Rule 2080

By Christopher D. Warren / September 12, 2022
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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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New Laws & Challenges in the ISA Market: How to Stay in Legal Compliance

By Christopher D. Warren / September 1, 2022
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Income Share Agreements (“ISAs”) started out as a way to finance student tuition in higher education. They’ve since expanded to fund attendance at vocational, coding, culinary, and other types of specialty career training schools in marketing, tech, and even venture capital. As a financial instrument, ISAs occupy a nebulous middle ground – they’re not quite…

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Crypto Winter is Here and so are Government Investigations

By Christopher D. Warren / August 10, 2022
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Cryptocurrency used to be going to the moon. Now, winter is coming, and surviving the daily dips has been an exercise of restraint and patience. Still, most crypto-billionaires are now just crypto-hundred-millionaires. Naturally, the crypto crash has significantly affected those with an extensive portfolio. Instead of the significant and steady gains, the market got accustomed…

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