Jeffrey Warren

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Warren (Warren), previously associated with Oppenheimer & CO. INC., has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Warren recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on May 28, 2021.

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.

Currently financial advisor Jeffrey Warren (Warren), currently employed by brokerage firm Vanderbilt Securities, LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on August 04, 2024.

The claimant alleges that financial advisor made unsuitable recommendations by concentrating nearly $300,000 of retirement assets into illiquid, high-commission private placements and non-traded REITs. These investments were misrepresented as safe, lacked transparency, and were inappropriate for retirees. The advisors also engaged in options trading within IRA accounts, resulting in losses estimated between $100,000 and $500,000.

Articles Tagged with Jeffrey Warren

Broker Jeffrey Warren in Oppenheimer & CO. INC. Firm Has Customer Complaint

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