{"id":10615,"date":"2022-04-27T12:22:53","date_gmt":"2022-04-27T16:22:53","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10615"},"modified":"2022-04-27T12:22:53","modified_gmt":"2022-04-27T16:22:53","slug":"finra-bars-broker-warren-rowe-jr-after-impermissible-client-loan","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-warren-rowe-jr-after-impermissible-client-loan\/","title":{"rendered":"FINRA Bars Broker Warren Rowe, Jr. After \u201cImpermissible\u201d Client Loan"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-10205 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall.jpg\" alt=\"Warren Rowe (Warren Ellwood Rowe, Jr. CRD# 1065880) is a former registered broker whose last known employer was Oppenheimer &amp; Co. Inc. (CRD#:249) of Richmond, VA. His previous employers include RBC Capital Markets, LLC (CRD#:31194) and Ferris, Baker Watts, LLC (CRD#:285), also of Richmond, and Wachovia Securities, LLC (CRD#:19616) of St. Louis, MO. He has been in the industry since 1982.  Two clients filed disputes against Rowe that indicated he borrowed money from them. The first, filed on 5\/1\/2020, included allegations of unauthorized trading and requested damages of $225,000 and was ultimately dismissed. The second dispute was filed on 10\/5\/2020, and included damages of $25,000, and was ultimately denied. The loans were allegedly made in August and September of 2019.  After the initial report that Rowe entered into a loan agreement with a client, he voluntarily resigned from Oppenheimer. The firm filed his Form U5 on 5\/4\/2020. The U5 stated that he entered into loan agreements with a client and failed to notify the firm of the transaction.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Warren Rowe (Warren Ellwood Rowe, Jr. CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/1065880\" target=\"_blank\">1065880<\/a>) is a former registered broker whose last known employer was Oppenheimer &amp; Co. Inc. (CRD#:249) of Richmond, VA. His previous employers include RBC Capital Markets, LLC (CRD#:31194) and Ferris, Baker Watts, LLC (CRD#:285), also of Richmond, and Wachovia Securities, LLC (CRD#:19616) of St. Louis, MO. He has been in the industry since 1982. <a href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-warren-rowe-jr-after-impermissible-client-loan\/#more-10615\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Warren Rowe (Warren Ellwood Rowe, Jr. CRD# 1065880) is a former registered broker whose last known employer was Oppenheimer &amp; Co. Inc. (CRD#:249) of Richmond, VA. His previous employers include RBC Capital Markets, LLC (CRD#:31194) and Ferris, Baker Watts, LLC (CRD#:285), also of Richmond, and Wachovia Securities, LLC (CRD#:19616) of St. Louis, MO. He has [&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],"tags":[],"class_list":["post-10615","post","type-post","status-publish","format-standard","hentry","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>FINRA Bars Broker Warren Rowe, Jr. After \u201cImpermissible\u201d Client Loan &#8212;<\/title>\n<meta name=\"description\" content=\"Warren Rowe is a former registered broker whose last known employer was Oppenheimer &amp; Co. Inc. (CRD#:249) of Richmond, VA.\" \/>\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-warren-rowe-jr-after-impermissible-client-loan\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Bars Broker Warren Rowe, Jr. After \u201cImpermissible\u201d Client Loan &#8212;\" \/>\n<meta name=\"twitter:description\" content=\"Warren Rowe is a former registered broker whose last known employer was Oppenheimer &amp; Co. Inc. (CRD#:249) of Richmond, VA.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Bars Broker Warren Rowe, Jr. After \u201cImpermissible\u201d Client Loan &#8212;","description":"Warren Rowe is a former registered broker whose last known employer was Oppenheimer & Co. Inc. 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(CRD#:249) of Richmond, VA.","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall.jpg","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-warren-rowe-jr-after-impermissible-client-loan\/","url":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-warren-rowe-jr-after-impermissible-client-loan\/","name":"FINRA Bars Broker Warren Rowe, Jr. After \u201cImpermissible\u201d Client Loan &#8212;","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-warren-rowe-jr-after-impermissible-client-loan\/#primaryimage"},"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-warren-rowe-jr-after-impermissible-client-loan\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2021\/10\/FiverrLossesSmall.jpg","datePublished":"2022-04-27T16:22:53+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"Warren Rowe is a former registered broker whose last known employer was Oppenheimer & Co. 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