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Chris Warren

Chris Warren

Warren Law Group
  • Business Law, Securities Law, Arbitration & Mediation ...
  • New York
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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.

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
  • Free Consultation
Jurisdictions Admitted to Practice
New York
New York State Office of Court Administration
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  • English: Spoken, Written
Professional Experience
Warren Law Group
New York Law School
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Articles & Publications
Why Every Business Should Pay Attention to Privacy Laws
Websites & Blogs
Warren Law Group Website
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 an unnecessary financial risk; there are no such things (yet) as a "crypto investment fund." ... Read More
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Contact & Map
Warren Law Group
New York Office
519 8th Ave
25th Floor
New York, NY 10018
Toll-Free: (866) 954-7687
Monday: 9 AM - 6 PM
Tuesday: 9 AM - 6 PM (Today)
Wednesday: 9 AM - 6 PM
Thursday: 9 AM - 6 PM
Friday: 9 AM - 6 PM
Saturday: Closed
Sunday: Closed