Practice Areas

Securities Attorney NYC

Securities Litigation and FINRA Arbitrations

Shareholder Litigation

Shareholders have certain rights, and disputes may arise between shareholders that cannot be resolved through negotiation and compromise. Shareholder litigation cases often involve claims of business fraud, negligence, breach of fiduciary duty, derivative action lawsuits, and improper accounting actions. If you’re facing a shareholder dispute, you need an attorney who can successfully defend you so that you receive the money that you are owed.

At Warren Law Group, our goal as litigators is to ensure that your rights as a financial professional are being met. Our legal team has extensive experience handling shareholder disputes in federal court, state court, and arbitrations.

Whistleblower Representation

Whistleblowers are a key part of regulatory enforcement actions such as those that involve securities (SEC, FINRA), labor (Occupational Safety and Health Administration), tax (IRS), and other agencies. Whistleblowers are protected and rewarded under federal and state laws such as the Sarbanes-Oxley Act and the Dodd-Frank Act. In the interest of the public good and safety, whistleblowers are encouraged to reveal illegal conduct to regulators, such as accounting discrepancies, embezzlement, and fraud.

Being a whistleblower is not as simple as just making a phone call or filing an online report. Whistleblowers must follow a detailed process of reporting illegal activity. One wrong move can expose the whistleblower to their employer and to potential harm. At the same time, that mistake could also disqualify the whistleblower from some of their legal protections and rewards. The best way to avoid these pitfalls is to have a knowledgeable whistleblower attorney working with you.

Whistleblower reports are anonymous. Regulators don’t share the source of their information with the subjects of their investigations. However, sometimes company management can “connect the dots,” discover a whistleblower’s identity, and punish them for bringing misconduct to the attention of regulatory agencies. This is illegal retaliation.

Whistleblower retaliation can come in many different forms. You may get demoted, your wages or hours may get cut, or you may get passed over for advancement and promotions. In the most extreme cases, whistleblowers may be fired in retaliation. A whistleblower protection lawyer can help you file a claim for wrongful termination and recover any losses you suffer.

Real Estate Securities Litigation

The real estate development and management sectors require large amounts of capital investment to function, whether in residential or commercial real estate markets. Real estate investments generate income in the form of rent or proceeds from a sale. These returns may take the form of securities regulated by the SEC as well as other relevant governmental and non-governmental agencies.

Securities traditionally cover equity, shares, bonds, promissory notes, and the like. Real estate investments are considered securities by the U.S. Supreme Court if an investment contract exists. For an investment contract in place, there must be an investment of money or assets in a common enterprise, an expectation of profits from the investment, and profits generated outside of the investor’s control.

Regardless of the structure of your real estate security, fund managers have fiduciary duties of loyalty, care, and disclosure to their investors. Avoiding issues related to these duties and resolving any problems when they arise are key to a REIT’s long-term financial security.

If your partnership or business invests in real estate, it is imperative that you speak with experienced counsel about the implications, regulatory requirements, and legal risks.

If your investment is at risk, moving quickly is paramount when bringing an action against a real estate investment company because the company can sell its assets before investors have a chance to file the action in court. Once this happens, collecting a judgment on those assets becomes much more difficult. At Warren Law Group, we act fast to protect your investment.

Securities Litigation and FINRA Arbitrations

Complex securities and commodities litigation cases can put millions of dollars on the line. Warren Law Group offers its clients a deep knowledge of complex securities litigation cases. We have experience in a wide range of financial litigation, including civil litigation, SEC regulatory litigation, enforcement matters, self-regulatory litigation, and securities class action cases.

Our attorneys represent both plaintiffs and defendants in financial litigation. We deal with cases in both judicial and regulatory proceedings. If necessary, our lawyers are prepared to advocate zealously for our clients at trial, with a strategy specifically tailored to the needs of each client. 


As a broker, your business is defined by your reputation. If a customer files a false claim against you, it will result in negative information included on your publicly available BrokerCheck report, which can cast a shadow on you. Fortunately, our expungement attorneys can help you remove false and inaccurate complaints from your public brokerage record in accordance with FINRA Rule 2080.

Warren Law Group’s expungement lawyers lead the pack in successful expungement petitions with FINRA. Our familiarity with this type of situation will make the process of removing complaints from your BrokerCheck report more efficient and effective. We strive to ensure that your brokerage career and reputation won’t be negatively affected by baseless customer complaints.

Warren Law Group has also successfully filed expungement petitions to remove false information on BrokerCheck reports concerning a broker’s termination from a broker-dealer on the firm’s Form U5 (Uniform Termination Notice for Securities Industry Registration). Our team regularly provides our broker-dealer and investment advisor clients with U5 assistance and review.


The seasoned FINRA arbitration attorneys at Warren Law Group have extensive experience representing firms and brokers in securities arbitration matters before FINRA. Our FINRA arbitration lawyers offer a deep understanding of Wall Street and extensive experience in complex and sophisticated securities matters. Many of our securities arbitration attorneys have either held a securities license or have worked with financial entities, organizations, financial services professionals, and financial regulators including the SEC, FINRA, New York Stock Exchange, and the American Stock Exchange.

Typical allegations of wrongdoing we defend against in FINRA arbitrations are:

  • Misrepresentation
  • Insurance fraud
  • Elder abuse
  • Suitability
  • Negligence
  • Errors and omissions (E&O)
  • Breach of fiduciary duty
  • Failure to supervise
  • Churning
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Why Choose Us?

We understand the Street. It is in our best interests to provide you with world-class service and counsel so that you feel confident trusting us with any potential future investigations, disputes, or corporate matters.

We value our reputation, so we recognize the importance of yours. We utilize our team’s depth and diversity in experience to help our clients turn adversity into opportunity. Finally, we tailor our counsel to your needs and objectives, handling every case with the same level of care and commitment.

If you choose to be a strategic partner with Warren Law Group, we know you will be happy with what we can do for you.

Sign on the building of Financial Industry Regulatory Authority, or Finra, in Manhattan NYC lower financial district downtown

Securities Litigation and FINRA Arbitration FAQs

What is FINRA?

FINRA stands for The Financial Industry Regulatory Authority. It is a self-regulatory agency that licenses and provides oversight for all active, registered broker-dealers and brokers in the United States. FINRA’s stated objective is to protect the interests of investors.

Are FINRA and SEC related?

FINRA and the SEC work together to regulate the securities industry. FINRA is a self-regulatory agency that has jurisdiction only over firms and individuals registered with FINRA. The SEC is a government agency that conducts investigations and initiates lawsuits across the country for alleged violations of the securities laws regardless of whether the company or individual is registered with FINRA. Together, FINRA and the SEC work together and share information in their respective pursuit of investor protection.

What is FINRA licensed person or company?

A license to sell and interact with securities is issued by FINRA, whether you are an individual or a firm. There are a series of licenses issued by FINRA which require an individual to take tests, which support the type of product they will become licensed to sell. On the firm side, a broker-dealer must register with FINRA and go through a membership process to be approved. Once registered with FINRA, individuals and firms are required to abide by FINRA’s rules and regulations.

We are approaching our second year working with the Warren Law Group. Their team of attorneys have you covered from head to toe. Whether you need help in corporate compliance, cryptocurrency, FINRA arbitration or commercial litigation.
Jon-Jorge Aras did a fantastic time navigating an extremely challenging time in my life with my career on the line. He is a passionate lawyer who fought tooth and nail to achieve expungement. I am back in the drivers seat in my career after nearly two years thanks to him and The Warren Law Group
Jon-Jorge Aras is an exceptional lawyer. I hired Jon-Jorge to help with a Finra expungement and got it done for me in a fast amount of time. He took the time to understand my case and the impact the defamatory statement had on my career and my life. When I was arguing my case you can feel the passion as if it was personal to him. I highly recommend Jon-Jorge for your legal services.
I have to compliment Chris Warren and the entire team at Warren Law Group. They were extremely professional and was very detailed oriented in their work. Specifically, they spent a lot of time focused on my needs and communicated their process every step. I would never hesitate to use them and highly recommend Chris and the firm.