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Sankeetha Selvarajah - Of Counsel

Warren Law Group Welcomes Sankeetha Selvarajah as Of Counsel

By Warren Law Group / 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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Proposed New Changes to the FINRA Rule 2080 Expungement Process

By Thomas McCabe / October 26, 2022
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If you have customer complaints or adverse disclosures reported on your FINRA Central Registration Depository (CRD) against you, those CRD disclosures can seriously hurt your reputation in the securities industry. FINRA CRD complaints may involve claims of sales practice violations, forgery, theft, or misappropriation or conversion of funds. In this article, we take a look…

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John J. Keenan - Partner

Warren Law Group Welcomes John Keenan as Partner

By Warren Law Group / 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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SEC Charges Kim Kardashian in Crypto Case

By Jon-Jorge Aras / October 4, 2022
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Jon-Jorge Aras Discusses What Crypto Investors Can Learn From This Case Kim Kardashian will pay over $1 million to the SEC for unlawfully promoting a crypto asset security offered and sold by EthereumMax without disclosing her payment. The SEC’s order finds that Kardashian failed to disclose to the public that she was paid $250,000 to…

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Confirmation of an Expungement Reward

Is It Necessary Under Rule 2080 to Obtain Court Confirmation of an Expungement Award?

By Jon-Jorge Aras / September 26, 2022
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Simply put, the answer is yes. FINRA Rule 2080 (“Rule 2080”) is complex and must be followed properly to obtain expungement of a customer complaint from an individual’s BrokerCheck report Rule 2080 requires that a court of competent jurisdiction (state or federal court) confirm an expungement award before FINRA will remove a customer complaint from…

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Warren Law Group Welcomes Scott J. Oh as Partner

By Warren Law Group / 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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