{"id":10197,"date":"2021-10-07T15:18:34","date_gmt":"2021-10-07T19:18:34","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10197"},"modified":"2021-10-07T15:18:34","modified_gmt":"2021-10-07T19:18:34","slug":"finra-bars-broker-jeffrey-warren-after-client-gift-raises-questions","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jeffrey-warren-after-client-gift-raises-questions\/","title":{"rendered":"FINRA Bars Broker Jeffrey Warren After Client Gift Raises Questions"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-10198 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/Jeffrey-Warren.jpg\" alt=\"Jeffrey Warren (CRD:#2707969) is a former registered broker whose last known employer was Oppenheimer &amp; Co. Inc. (CRD#:249) of Boca Raton, FL. He was previously employed with Wachovia Securities, LLC (CRD#:19616), also of Boca Raton, UBS Financial Services Inc. (CRD#:8174) of Weehawken, NJ, and Prudential Securities Incorporated (CRD#:7471) of New York, NY. Warren has been in the industry since 1996.  On February 10, 2021, a customer filed a dispute with requested damages of $125,000. The customer alleged that in January of 2021, Warren deposited a check from a deceased client\u2019s trust without the approval of the trust\u2019s beneficiaries. The customer was also a beneficiary of said trust. The firm denied the client\u2019s claim.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/Jeffrey-Warren.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/Jeffrey-Warren-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Jeffrey Warren (CRD:#<a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/2707969\" target=\"_blank\">2707969<\/a>) is a former registered broker whose last known employer was Oppenheimer &amp; Co. Inc. (CRD#:249) of Boca Raton, FL. He was previously employed with Wachovia Securities, LLC (CRD#:19616), also of Boca Raton, UBS Financial Services Inc. (CRD#:8174) of Weehawken, NJ, and Prudential Securities Incorporated (CRD#:7471) of New York, NY. Warren has been in the industry since 1996. <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jeffrey-warren-after-client-gift-raises-questions\/#more-10197\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Jeffrey Warren (CRD:#2707969) is a former registered broker whose last known employer was Oppenheimer &amp; Co. Inc. (CRD#:249) of Boca Raton, FL. He was previously employed with Wachovia Securities, LLC (CRD#:19616), also of Boca Raton, UBS Financial Services Inc. (CRD#:8174) of Weehawken, NJ, and Prudential Securities Incorporated (CRD#:7471) of New York, NY. Warren has been [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[580,576],"tags":[],"class_list":["post-10197","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct","category-unsuitable-investment-advice"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>FINRA Bars Broker Jeffrey Warren After Client Gift Raises Questions &#8212;<\/title>\n<meta name=\"description\" content=\"Jeffrey Warren is a former registered broker whose last known employer was Oppenheimer &amp; Co. Inc. of Boca Raton, FL.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jeffrey-warren-after-client-gift-raises-questions\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Bars Broker Jeffrey Warren After Client Gift Raises Questions &#8212;\" \/>\n<meta name=\"twitter:description\" content=\"Jeffrey Warren is a former registered broker whose last known employer was Oppenheimer &amp; Co. 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Inc. of Boca Raton, FL.","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/Jeffrey-Warren.jpg","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"4 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jeffrey-warren-after-client-gift-raises-questions\/","url":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jeffrey-warren-after-client-gift-raises-questions\/","name":"FINRA Bars Broker Jeffrey Warren After Client Gift Raises Questions &#8212;","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jeffrey-warren-after-client-gift-raises-questions\/#primaryimage"},"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-jeffrey-warren-after-client-gift-raises-questions\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/Jeffrey-Warren.jpg","datePublished":"2021-10-07T19:18:34+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"Jeffrey Warren is a former registered broker whose last known employer was Oppenheimer & Co. 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