Christopher Warren | New York Business Lawyer

Christopher D. Warren is the Managing Partner of Warren Law Group, founded in 2018. Before starting Warren Law Group, Christopher earned a securities license with the National Association of Securities Dealers, Inc. (NASD), the predecessor of the Financial Industry Regulatory Authority, Inc. (FINRA). He was also a partner in several successful real estate investment businesses.

Chris’s industry and business background provide him with practical experience and valuable insight into these sectors. With decades of knowledge in financial services, securities, real estate, and business, Christopher can create pragmatic and practical strategies to service his clients with innovative sophistication. The goal is simple: to advise on conduct consistent with the client’s goals and business strategies.

Chris litigates securities matters, business to business disputes, shareholder and partnership disputes, other issues in real estate securities, limited partnerships, or partnerships in state and federal court, as well as arbitration bodies such as FINRA, AAA, and JAMS. Many securities shareholder claims and commercial litigation cases involve business torts, breach of contract, fraudulent inducement and misrepresentation, business dissolution, breach of fiduciary duty claims, and accounting actions.

Christopher has broad experience representing stockbrokers and their broker-dealers in FINRA arbitration and defending brokers and registered financial advisors in regulatory enforcement actions and investigations by the SEC and FINRA.

Typical broker and advisor matters include broker misconduct, securities fraud, negligence, breach of fiduciary duty, unsuitability claims, failure to supervise claims, unauthorized trading, forgivable loan (EFL), and promissory note defense.

Typical regulatory defense matters include FINRA OTR representation, FINRA 8210 compliance, AWC settlement negotiations, U4 and U5 expungement, unpaid bonus claims, wells calls for FINRA and SEC Enforcement matters, and SEC subpoena responses and strategies.

Christopher also represents private equity firms and startups looking to raise capital or restructure debt through investments in equity, debt, or both. He provides practical and creative business solutions to commercial litigation matters, including business torts, breach of contract, business divorce, breach of fiduciary duty claims, accounting actions, commercial contract litigation, limited partnership shareholder litigation, and minority shareholder oppression matters. Typical matters include shareholders seeking proper accounting in breach of fiduciary duty claims, dissolution or “business divorce” proceedings, brokers recovering unpaid sales commissions, partnership disputes in closely held businesses, fraudulent inducement, and material breach of contract in private placement memorandum (PPM) litigation.

Every client’s circumstances are unique; we tailor our approach to them to best fit their matters. Chris describes his style as fast-paced and direct, and he advocates fiercely for his clients and speaks with candor. Chris is passionate about his clients and their ongoing concerns and treats their issues as if they were his own.

Position	Organization	Location	Duration
Managing Partner	Warren Law Group	New York, NY	Present

School	Degree	Major	Graduation
New York Law School	J.D.	Law School	2013
University of Phoenix	Bachelors		2009

State / Court	Date
New Jersey	2015
New York	2014

• Member | New York State Bar Association

• Representative Matters Include:
  Represented a nationwide distribution and sales company in multi-jurisdiction securities fraud matter, recovering multiple millions of dollars in a settlement against a publicly-traded company.

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	9:00 am - 5:00 pm	9:00 am - 5:00 pm	9:00 am - 5:00 pm	9:00 am - 5:00 pm	9:00 am - 5:00 pm

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