Writings by Christopher D. Warren

Mr. Warren routinely handles business-to-business disputes, government investigations, and complex enforcement proceedings on behalf of clients before regulatory entities such as the U.S. Securities and Exchange Commission, FINRA, and state regulatory agencies such as the Attorney General Office.

Client Alert

Library

Scarinci Hollenbeck remains committed not only to providing top-tier legal services but also to regularly providing information and resources to our client base and internet following. Client Alerts provided by our attorneys supply businesses, municipalities, and more with the latest and relevant legal updates that may impact them and how they might be able to proceed.

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How Much Should You Pay for a Real Property and Proceedings Law License?

A real estate developer purchases an underutilized lot and seeks to either extend the existing structure or demolish it and build a new structure to maximize its square footage. To do this, architects and engineers are engaged and building plans are prepared. The building department reviews the plans and approves them, but before the developer […]

Author: Christopher D. Warren

March 9, 2023

Arbitration vs. Litigation: Key Differences and When to Choose Each

When legal disputes arise, the choice between arbitration and litigation can significantly impact the outcome and cost of resolution. Both options have distinct processes, advantages, and limitations. By understanding the arbitration vs litigation differences, you can make informed decisions to protect your business, reputation, and assets. This guide explains the key distinctions, common scenarios, and […]

Author: Christopher D. Warren

March 9, 2023

What is Wire Fraud, and What is the Statute of Limitations for Wire Fraud?

Wire fraud is a serious offense with long-lasting consequences for businesses and individuals. Understanding the legal ramifications of wire fraud is crucial for anyone suspected of committing the crime. This article will discuss wire fraud and the applicable statute of limitations. What Is the Wire Fraud Statute of Limitations? A statute of limitations is a […]

Author: Christopher D. Warren

March 1, 2023

How Long Does an SEC Investigation Take?

How long do SEC investigations take? First, we need to understand them. Simply stated, an SEC investigation is an inquiry by the United States Securities and Exchange Commission (SEC) to determine whether there has been a violation of federal securities laws. The SEC can investigate any person or entity it believes may have violated securities […]

Author: Christopher D. Warren

February 10, 2023

Why Would I Participate in a Proffer Session?

If you are being investigated for a white-collar crime, you may receive a proffer letter from a federal prosecutor. Depending on how the proffer session is handled, this may be a good or bad thing for your case. So before agreeing to a proffer, you first need to understand a proper proffer definition, along with […]

Author: Christopher D. Warren

February 1, 2023

Why Wouldn’t my FINRA Expungement Go Through?

FINRA Rule 2080 allows FINRA-registered financial professionals (RFPs) or broker-dealer firms to expunge complaints lodged against them from the Central Registration Depository (CRD) system. CRD is a source of information accessible to the public through BrokerCheck. BrokerCheck is a unique and free tool that gives investors information involving regulatory actions, arbitrations and complaints, broker’s employment […]

Author: Christopher D. Warren

January 26, 2023

How Does FINRA Determine the Standards for Expungement of Customer Dispute Information?

The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization, a not-for-profit, non-governmental regulator for all broker-dealer firms and brokers that sell securities in the United States. FINRA protects investors by ensuring that broker-dealers and brokerage firms operate fairly and honestly. Brokers and FINRA-registered financial professionals often come to us when looking to settle a […]

Author: Christopher D. Warren

January 11, 2023

How Do You Request Expungement if the Parties Settle the Arbitration?

Requesting Expungement in a FINRA Settlement Arbitration In the highly competitive financial world, any organization, manager, or owner must ensure that your business’s Central Registration Depository (CRD) doesn’t have negative customer complaints. If you are looking for FINRA settlement solutions, keep reading. Public investors often consult CRD through FINRA BrokerCheck before making investment decisions. The […]

Author: Christopher D. Warren

January 6, 2023

So Your FINRA Expungement Got Approved. What Next?

If you have an inaccurate or erroneous customer dispute on your broker’s record, getting it expunged is a no-brainer. But the FINRA expungement process isn’t easy. In fact, the agency calls expungement an “extraordinary remedy” to be used only in limited cases. But let’s say you brought on an experienced legal team who helped you […]

Author: Christopher D. Warren

December 16, 2022

FINRA 2080

What Findings Are Required for FINRA Expungement?

Under FINRA Rule 2080, broker-dealer firms, offices, and professionals in the securities industry can request customer disputes be expunged from FINRA’s public records. When reputation is so important to client trust and retention, expungement is a no-brainer. But FINRA has high standards of review and a limited appeals process to challenge decisions – you must […]

Author: Christopher D. Warren

December 13, 2022

What Happens After You Submit a FINRA Expungement Waiver Request?

If you have an inaccurate or defamatory customer dispute on your firm’s FINRA Central Registration Depository (CRD) record, you can ask the agency for expungement. But what happens after you submit a FINRA expungement waiver request? Under FINRA’s policies, expungement is an “extraordinary remedy” that’s appropriate in only limited cases. In order to successfully win […]

Author: Christopher D. Warren

December 7, 2022

Proposed New Changes to the FINRA Rule 2080 Expungement Process

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 […]

Author: Christopher D. Warren

October 26, 2022

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