FINRA

Without admitting or denying the findings, Warren consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA in connection with its investigation into a gift that he received from a former customer of his member firm. The findings stated that this matter arose out of a complaint from a beneficiary of the deceased customer regarding the gift the customer provided to Warren prior to the customer's death.

Acceptance, Waiver & Consent(AWC)

Bar (Permanent)

All capacities

Indefinite

5/28/2021

CLIENT ALLEGES THAT INVESTMENTS WERE UNSUITABLE AND MISREPRESENTED. TIME PERIOD IS JUNE 2009, MAY 2010 AND FEBRUARY 2020.

$30,000.00

$25,000.00

AS PART OF AN ESTATE DISPUTE, A BENEFICIARY OF THE TRUST ALLEGES A CHECK WAS DEPOSITED WITHOUT THE BENEFICIARIES CONSENT. TIME PERIOD IS JANUARY 2021.

$125,000.00

ATTORNEY ON BEHALF OF FLORIDA RESIDENTS STATES IN WRITING HIS CLIENTS FA RECOMMENDED TWO UNITS AND ADVISED HIS CLIENTS' THERE WAS A 1% FEE. CLIENTS RECENTLY DISCOVERED THE FEES ARE IN EXCESS OF 1%. MOREOVER, CLIENTS ARE CONCERNED ABOUT THE POOR PERFORMANCE OF THE UNITS AND CLIENTS FEEL MISLED BY FA ABOUT THE SAFETY OF THE INVESTMENTS. ATTORNEY DOES NOT STATE DAMAGE AMOUNT, BUT LOSSES ARE ESTIMATED TO BE $5,080.

$5,080.00

LETTER SENT TO ATTORNEY DENYING COMPLAINT.

CUSTOMERS VERBALLY STATED THAT PURCHASES IN THE CUSTODIAL ACCOUNTS WERE UNSUITABLE. ALLEGED DAMAGE: ESTIMATED TO EXCEED $5000.

$14,000.00