News & Press

Warren Law Group

GE Decides Not to Legally Pursue Former CEO

By Christopher D. Warren / January 12, 2021
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Three years after former CEO Jeff Immelt left General Electric, reports the Wall Street Journal, their Board of Directors decided not to claw back his compensation, determining that they could not prevail on claims of fraud, misconduct, and breach of fiduciary duties. Shareholders have a right to pursue legal actions when corporate officers break their…

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SEC’s Proposed Finder Exemptions

By Christopher D. Warren / October 19, 2020
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SEC’s Proposed Finder Exemptions In a press release on October 7th, the SEC proposed an exemption for “finders”—who are paid to assist in raising capital in private markets by connecting investors and issuers of securities—from broker registration requirements currently in place. The SEC’s stated aim of the exemptions is “to assist small businesses to raise…

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Novel Case Concerning Dodd-Frank Whistleblower Action Attracts International Media Attention

By Christopher D. Warren / October 19, 2020
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Warren Law Group founder, Christopher Warren, co-counsel to Plaintiff Rishi Gupta, filed a Dodd-Frank whistleblower retaliation action that has attracted Indian media attention. The case, Gupta v. New Silk Route Advisors, L.P., et al, is now pending in the United States District Court for the Southern District of New York. Articles in India’s Business Today…

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Todd Kulkin, Esq. Joins Warren Law Group, PC

By Christopher D. Warren / August 26, 2020
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Warren Law Group, PC is pleased to announce Todd Kulkin, Esq., a corporate, securities, and not-for-profit law attorney, as the newest member of the firm. Todd has been honored by the Reuters publication Superlawyers as a “Rising Star” in business law for the New York Metro Area from 2014-2020. Having graduated with a concentration in…

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Paul Share, Esq. Joins Warren Law Group

By Christopher D. Warren / August 14, 2020
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New York City – Warren Law Group is pleased to announce Paul Share, Esq., a corporate and securities law attorney with almost fifty years of experience, as the newest member of the firm. Paul also brings to the firm extensive experience in loan agreements, capital raises, intellectual property law, and the acquisition and sale of…

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Broker Says FINRA Can’t Hold Arbitration Hearing On Zoom

By Christopher D. Warren / August 13, 2020
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An Illinois broker facing a Financial Industry Regulatory Authority arbitration sued the regulator Tuesday for alleged breach of contract, claiming that its decision to conduct the hearing via Zoom is “unworkable” due to the need for a translator in the proceeding and the complexity of the issues.

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SEC Proposes Amendments for Institutional Investment Managers

By Christopher D. Warren / July 10, 2020
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The Securities and Exchange Commission today announced that it has proposed to amend Form 13F to update the reporting threshold for institutional investment managers and make other targeted changes. The threshold has not been adjusted since the Commission adopted Form 13F over 40 years ago.

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FINRA Rule 2080: Expungement Changes Coming this Month

By Christopher D. Warren / June 30, 2020
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The rules around expungement for financial services professionals are changing this month. While this might sound like a bureaucratic change to legal procedure, its implications for personal securities industry reports should grab the attention of any financial services professional. This is because the effects of these changes will make it more difficult to remove information…

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Finra Seeks Higher Expungement Fees by Closing $1-Claim Loophole

By Christopher D. Warren / June 19, 2020
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The Financial Industry Regulatory Authority wants to eliminate a loophole that slashes the fees firms and brokers pay when seeking to expunge customer complaints from brokers’ regulatory records. In a filing to the Securities and Exchange Commission on Friday, Finra proposed amending its arbitration codes so that brokers or their firms will pay at least…

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