SEC’s Proposed Finder Exemptions
October 19, 2020
SEC’s Proposed Finder Exemptions In a press release on October 7th, the SEC proposed an exemption…
Novel Case Concerning Dodd-Frank Whistleblower Action Attracts…
October 19, 2020
Warren Law Group founder, Christopher Warren, co-counsel to Plaintiff Rishi Gupta, filed a Dodd-Frank whistleblower retaliation…
Todd Kulkin, Esq. Joins Warren Law Group,…
August 26, 2020
Warren Law Group, PC is pleased to announce Todd Kulkin, Esq., a corporate, securities, and not-for-profit…
Paul Share, Esq. Joins Warren Law Group
August 14, 2020
New York City - Warren Law Group is pleased to announce Paul Share, Esq., a corporate…
Broker Says FINRA Can’t Hold Arbitration Hearing…
August 13, 2020
An Illinois broker facing a Financial Industry Regulatory Authority arbitration sued the regulator Tuesday for alleged…
SEC Proposes Amendments for Institutional Investment Managers
July 10, 2020
The Securities and Exchange Commission today announced that it has proposed to amend Form 13F to…