Chris Warren
Warren Law Group
Warren Law Group is a business law firm that provides its clients with fierce strategic advocacy in the courtroom and sage advice in the boardroom. Our approach is to give our clients the freedom to pursue their vision while mitigating their risks and minimizing liability exposure. Warren Law Group represents privately held businesses of all sizes as well as investors and not-for-profit organizations in everything from formation and deal-making to protecting their rights in litigation and arbitration.
Contact Chris Warren today to learn about how Warren Law Group can protect your rights and bring your business to the next level.
- Business Law
- Business Contracts, Business Dissolution, Business Finance, Business Formation, Business Litigation, Franchising, Mergers & Acquisitions, Partnership & Shareholder Disputes
- Securities Law
- Arbitration & Mediation
- Business - Arbitration/Mediation
- White Collar Crime
- FINRA Regulatory Defense & Arbitration
- Corporate & Securities Offerings
- Partnership & Shareholder Litigation
- Zoom
- Microsoft Teams
- Free Consultation
- New York
- New York State Office of Court Administration
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- English: Spoken, Written
- Attorney
- Warren Law Group
- Current
- New York Law School
- J.D.
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- Website
- Warren Law Group Website
- Q. Is a short term investment tragedy in the best interest for the client, according to the new BI rules? How is it?
- A: A short-term trading strategy can comply with regulation B-I as long as the fees are reasonable and disclosed, the client authorizes the strategy, there is appropriate supervisory compliance of the account in place, and there is not a conflict of interest between the client and the broker.
- Q. Financial investment question
- A: This response does not constitute legal advice.
Yes. If you take your friends' money for access to an "investment fund" an "individual" (read: not a broker) runs, you could be violating several securities laws as well as potential "blue sky" State laws. Further, based upon the limited facts you've provided, it also sounds like the "individual" who is "trading" on your behalf is violating several securities laws because they are likely an unregistered broker.
Your continued participation through the unregistered individual, alone, will likely not present a legal risk to you. However, in my experience, it sounds like you may taking ... Read More
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