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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Reddit User Roaring Kitty Under Investigation by Securities Regulators

Keith Gill, a registered securities broker better known by his online persona Roaring Kitty, is currently under investigation via his former employer Mass Mutual according to the New York Times. The MA Securities Division are investigating whether Mass Mutual knew that Gill was touting GameStop stock via his YouTube channel, contributing to the massive short […]

Author: Christopher D. Warren

February 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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