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Chris Warren
Scarinci Hollenbeck
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Biography
Scarinci Hollenbeck 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. Scarinci Hollenbeck 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 Scarinci Hollenbeck can protect your rights and bring your business to the next level.
Practice Areas
- 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
Additional Practice Areas
- FINRA Regulatory Defense & Arbitration
- Corporate & Securities Offerings
- Partnership & Shareholder Litigation
Video Conferencing
- Zoom
- Microsoft Teams
Fees
- Free Consultation
Jurisdictions Admitted to Practice
- New York
- New York State Office of Court Administration
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Languages
- English: Spoken, Written
Professional Experience
- Attorney
- Scarinci Hollebeck
- Current
Education
- New York Law School
- J.D.
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Publications
Articles & Publications
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Legal Answers
2 Questions Answered
- 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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