Jeffrey Warren – Financial Advisor/Broker Jeffrey Warren Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses
Jeffrey Warren was a previously licensed financial advisor with Oppenheimer & Co. Inc. According to Jeffrey Warren’s BrokerCheck Report, Jeffrey Warren was barred by FINRA in May 2021.
According to FINRA:
In connection with FINRA’s investigation into a gift that Warren received from a former Oppenheimer customer, FINRA staff issued Warren a request for information and documents pursuant to FINRA Rule 8210. Warren refused to produce the information and documents, in violation of FINRA Rules 8210 and 2010.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with Jeffrey Warren and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Jeffrey Warren’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $200 million on behalf of victimized investors. If you lost money on investments with Jeffrey Warren and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 6/1/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.