Christopher Warren – New York City Criminal Lawyer

Christopher D. Warren serves as the Managing Partner of Warren Law Group, a renowned legal firm.

Prior to establishing Warren Law Group, Chris acquired a securities license from the National Association of Securities Dealers, Inc. (NASD), which later became the Financial Industry Regulatory Authority, Inc. (FINRA). He played a pivotal role as a founder and partner in multiple successful real estate investment and services ventures. Furthermore, he graduated at the top of his class at New York Law School, where he was honored with a position on the editorial board of the law review.

With his extensive background in financial services and business, Chris brings practical experience and valuable insights to his clients in these sectors. Leveraging his decades of expertise in financial services, securities, real estate, and business, he develops pragmatic and efficient strategies to offer innovative and sophisticated solutions to his clients. His ultimate objective is to provide advice that aligns with the clients’ goals and business strategies.

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

His work in government investigations encompasses developing strategies and providing representation for clients dealing with subpoenas from the SEC, United States Attorneys’ Office, and the United States Department of Justice. He also assists clients in responding to investigations conducted by State Regulators, including the Attorney General’s Office, that focus on potential violations of securities laws known as “blue sky” laws.

Chris possesses extensive experience in representing stockbrokers and their broker-dealers in arbitration proceedings under FINRA. He also defends brokers and registered financial advisors facing regulatory enforcement actions and investigations by both FINRA and the SEC.

In cases involving FINRA regulatory defense, Chris offers representation during FINRA On the Record (OTR) procedures, ensures compliance with FINRA Rule 8210, negotiates settlements under the Acceptance, Waiver, and Consent (AWC) program, handles expungement requests related to the U4 and U5 forms, handles unpaid bonus claims, responds to Wells Notices (or Wells Calls), and represents clients in enforcement proceedings. He also provides representation in response to parallel investigations conducted by state regulators for potential violations of “blue sky” securities laws. Typical matters involving brokers and advisors include cases related to broker misconduct, securities fraud, negligence, breach of fiduciary duty, unsuitability claims, failure to supervise claims, unauthorized trading, forgivable loan (EFL) matters, and defense against promissory note claims.