BOCA RATON, FLORIDA
Have you lost money with financial advisor Jeffrey Warren of Boca Raton, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jeffrey Warren. FINRA barred Warren after he failed to respond to an investigation. Warren was being investigated after a customer complained that he received a gift prior to a customer’s death.
Jeffrey Warren was a financial advisor and registered representative of Oppenheimer & Co. from 2009 to March 2021. He worked at a branch office in Boca Raton, Florida. Warren was also the subject of three customer complaints.
Brokerage firms like Oppenheimer & Co. have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Florida in the past. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Oppenheimer & Co.
Click to view FINRA AWC: Warren, Jeffrey FINRA AWC
Click to view BROKERCHECK: Warren, Jeffrey BrokerCheck 6.1.21