Christopher Warren
Warren Law Group
New York City, New York 10018
About Christopher Warren
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.
Practice Areas
- Securities Litigation
- FINRA Arbitrations
- White Collar Defense
- Investigations Blockchain Offerings
- Cryptocurrency Defense
- Investigations Commercial Litigation
Awards
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Contact Christopher Warren
(212) 931-6573
519 8th Avenue, 25th Floor
New York City, New York 10018
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Reviews
| By Janette Breton | Confirmed Review
Christopher Warren and his team of attorneys are truly remarkable! I found myself dealing with a challenging FINRA issue that I couldn't resolve on my own, despite having all the necessary documentation. Recognizing the importance of my registration, I began searching for highly competent attorneys who possessed expertise in arbitration and extensive experience in handling FINRA cases. When I called Mr. Warren's office, I was fortunate enough to have him personally answer my call. I explained my situation, and he attentively listened, patiently outlining his approach and expressing optimism regarding my case. From the outset, the entire team provided exceptional support. They remained fully engaged in my case, reaching out to me on multiple occasions. In particular, Jen Dikler's performance was outstanding! She took charge of my case with incredible enthusiasm, swiftly drafting necessary letters, gathering supporting documentation, and communicating with FINRA. Jen and the entire team possess extensive knowledge and a deep understanding of the process. They are highly efficient and ensure everything is handled promptly. I am eternally grateful and incredibly satisfied with the outcome. Without a doubt, they will continue to be my trusted attorneys for any FINRA-related matters.
| By Michael Marino | Confirmed Review
I must commend Chris Warren and the entire team at Warren Law Group for their exceptional professionalism and meticulous attention to detail in their work. They displayed a strong commitment to understanding and addressing my specific needs, and they ensured clear communication throughout the entire process. I would never hesitate to engage their services again, and I wholeheartedly recommend Chris and the firm to others in need of legal assistance.
| By Steven Zychowski | Confirmed Review
Not only did he attentively listen to all of our inquiries, but he also dedicated time to thoroughly explain the rationale behind each suggested solution, drawing upon his extensive expertise and experience. I highly endorse him and eagerly anticipate the opportunity to collaborate with him again in the future.
| By Bill Teubner | Confirmed Review
As we approach our second year partnering with the Warren Law Group, we continue to experience the comprehensive legal support provided by their team of skilled attorneys. They offer a wide range of services, ensuring that all your legal needs are addressed thoroughly. Whether you require assistance in corporate compliance, cryptocurrency matters, FINRA arbitration, or commercial litigation, the Warren Law Group is well-equipped to handle every aspect of your case.