Scarinci Hollenbeck, LLC, LLCScarinci Hollenbeck, LLC, LLC

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 industry

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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Reddit User Roaring Kitty Under Investigation by Securities Regulators post image

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

Link to post with title - "Reddit User Roaring Kitty Under Investigation by Securities Regulators"
Raising Capital? Avoid Pitfalls of a Private Placement post image

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

Link to post with title - "Raising Capital? Avoid Pitfalls of a Private Placement"

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