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

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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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YouTuber Keith Gill, "Roaring Kitty," Loses Broker License

Keith Gill’s license to trade was revoked, the Wall Street Journal reports, after inquiries were made into Gill’s “outside business activity” on social media. Could your social media presence be considered an ongoing FINRA violation? If you have received an investigation letter from FINRA, the SEC, or State regulators, call (201) 896-4100 or email info@sh-law.com for a […]

Author: Christopher D. Warren

March 4, 2021

Raising Capital? Avoid Pitfalls of a Private Placement

Recently, federal securities regulators accused six people of deceiving investors in connection with unregistered securities offerings for a supposed marijuana farm and CBD extraction facility in California. Allegedly, the defendants raised $25 million from more than 400 investors from across the country promising huge returns of 100% or more. At the core of the case, […]

Author: Christopher D. Warren

August 19, 2020

Published Works

How to Answer a FINRA Rule 8210 Inquiry

So, you got a letter. From FINRA. It’s about an examination. It’s a Rule 8210 letter. Now what? When you get a Rule 8210 letter from FINRA, it’s serious. This letter is telling you FINRA is launching an investigation, which you, as a registered person of FINRA, are – in some way, shape, or form […]

Author: Christopher D. Warren

July 31, 2020

Published Works

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