Christopher D. Warren

Christopher D. Warren is the Managing Partner of Warren Law Group.

Before starting Warren Law Group, Chris earned a securities license with the National Association of Securities Dealers, Inc. (NASD), the predecessor of the Financial Industry Regulatory Authority, Inc. (FINRA). He was a founder and partner in several successful real estate investment and services businesses before graduating at the top of his class at New York Law School, where he had the distinction of being voted on the editorial board of the law review.

Chris’s financial services and business background provide him with practical experience and valuable insight into these sectors. He can create pragmatic and efficient strategies to service his clients with innovative sophistication based on decades of financial services, securities, real estate, and business knowledge. The goal is simple: to advise on conduct consistent with the client’s goals and business strategies.

Chris’s practice includes representing individuals and businesses in government investigations and complex enforcement proceedings before the SEC, United States Attorneys’ Office, the United States Department of Justice, Attorney General’s Office, FINRA, and other state regulatory bodies.

Typical Government investigation matters include strategies and representation in subpoena responses to the SEC, United States Attorneys’ Office, and the United States Department of Justice, SEC Wells Notice (or Wells Call), and responding to State Regulators such as the Attorney General’s Office investigating violations of “blue sky” securities laws.

Chris has broad experience representing stockbrokers and their broker-dealers in FINRA arbitration and defending brokers and registered financial advisors in FINRA regulatory enforcement actions and investigations by the SEC and FINRA.

Typical FINRA regulatory defense includes FINRA On the Record (OTR) representation, FINRA 8210 compliance and strategies, AWC settlement negotiations, U4 and U5 expungement, unpaid bonus claims, Wells Notice (or Wells Call), enforcement proceedings, as well as representation in response to concurrent state regulators’ investigations for violations of “blue sky” securities laws. Typical broker and advisor matters include broker misconduct, securities fraud, negligence, breach of fiduciary duty, unsuitability claims, failure to supervise claims, unauthorized trading, forgivable loan (EFL), and promissory note defense.

Chris also litigates cryptocurrency fraud, securities matters, business-to-business disputes, shareholder and partnership disputes, other issues in real estate securities, limited partnerships, or partnerships in state and federal court, as well as arbitration bodies like the American Arbitration Association (AAA) and Judicial Arbitration and Mediation Services (JAMS).

Many securities and shareholder claims in commercial litigation cases involve shareholders seeking proper accounting in breach of fiduciary duty claims, partnership disputes leading to business dissolution or “business divorce” proceedings, limited and minority shareholder oppression representation, breach of contract, or misrepresentation in private securities offerings based on private placement memorandum (PPM), fraudulent inducement and misrepresentation, as well as theft of corporate opportunity and embezzlement matters.

All client’s circumstances are unique. Chris tailor’s his approach to best fit his client’s matters. Chris describes his style as fast-paced, forceful, and direct. Chris advocates fiercely for his clients and speaks with candor because he is passionate about them, cares about their going concerns, and treats their issues as if they were his own.

Representative Matters Include:

• Represented a nationwide distribution and sales company in multi-jurisdiction securities fraud matter, recovering multiple millions of dollars in a settlement against a publicly traded company.

• Represented a financial services company in cross-border litigation, disputing a hundred million dollars in transactions.

• Represented financial services companies in defense of SEC investigations, Wells Calls, subpoenas, and enforcement proceedings.

• Represented registered advisors in on-the-record (OTR) proceedings, enforcement proceedings, and negotiation of reasonable settlement.

• Represented a claimant in a private arbitration of multi-national corporation for breach of fiduciary duty and fraudulent inducement of contract involving the transfer of stock and the sales and management of real estate in multiple countries.

• Represented shareholders defrauded by advisor fraudulently inducing investments in the private placement of holding company in a reverse-merger scheme of a fraudulent re-listed NASDAQ company.

• Represented Registered Investment Advisory firm in defense of claims brought against it by former advisors.

• Represented frozen-out minority LLC members of a closely held real estate development company seeking judicial dissolution and recovery of misappropriated assets, including theft of corporate opportunity claims.

• Represented a broker in defense of breach of contract and repayment of promissory notes in FINRA proceeding.

• Represented Registered Investment Advisory firm in the enforcement of restrictive covenants, solicitation of clients, and proselytizing of employees.

• Represented partner in a shareholder litigation matter of a private equity firm that was entitled to 33% of shares awarded as compensation to the firm for multiple millions of dollars.

• Represented 50% partner in law firm dissolution matter for the recovery of multiple millions for ongoing case valuation and interest in originated matters.

• Represented an equal owner of multiple investment contracts for real estate where the titleholder has intentionally defrauded and concealed that fraud against the investor in the multiple millions.

• Represented general agent of real estate investment company in litigation against preferred equity investor claiming breach of fiduciary duty, shareholder oppression, receivership, and accounting.

• Represented general agent of Office of Supervisory Jurisdiction in the recovery of promissory notes paid to brokers in fraudulent misrepresentation proceeding.

• Represented 50% owner of a Registered Investment Advisory firm in uncovering fraudulent conveyances and theft of corporate opportunities by the prior partner.

• Represented financial services employees in breach of contract claims, fraudulent inducement, and fraudulent misrepresentations against broker-dealers and financial institutions.

• Represented securities industry commentator in SLAPP suit, or strategic lawsuit against public participation, against broker-dealer regarding fraudulent penny stock trades and SEC filings.

• Represented CEO of a publicly traded company in short-swing profit litigation.

• Represented shareholder of a closely held real estate holding company in an accounting action to uncover CEO’s misconduct and misappropriation of company funds.

• Represented commercial tenants in summary proceedings, Yellowstone injunctions, and declaratory relief matters.

• Represented brokers and financial advisors in promissory notes and Forms U4 and U5 expungement matters.

• Represented brokers and brokerages for unpaid sales commissions and independent contractor agreement litigation.

• Represented hedge fund holding company and associated joint ventures in a professional malpractice action against a worldwide accounting firm for negligence and malfeasance.

• Represented 50% partner in business divorce dissolution proceedings, forensic accounting, valuation, and settlement negotiations.

• Represented individual public investors in FINRA arbitrations concerning claims for churning, unsuitability, unauthorized trading, and misrepresentation, and failure to supervise against brokers and broker-dealers. Represented real estate developers in construction litigation, access agreement negotiations, and breach of contract claims.

Bar Admissions & Memberships

State of New York

State of New Jersey

Eastern District of New York

Southern District

New Jersey District Court