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Florida Broker Jeffrey Warren Barred By FINRA

Jul 14, 2021 AWC

Jeffrey Warren (CRD #: 2707969), a broker formerly registered with Oppenheimer & Co. in Boca Raton, Florida, has been barred by FINRA, following allegations that he failed to cooperate with a FINRA investigation, according to his BrokerCheck record, accessed on July 8, 2021. Warren’s record also reveals several investor disputes.

On May 28, 2021, Jeffrey Warren entered into an Acceptance, Waiver, and Consent agreement (AWC) with FINRA, in which he consented to the sanction that he refused to produce documents in connection with an investigation. FINRA was investigating a gift that he received from a deceased investor of his member firm. According to the AWC, the beneficiary of the investor filed a complaint regarding the gift prior to the investor’s death.

As part of the AWC, Warren consented to an indefinite bar. You can read a copy of the AWC here.

Jeffrey Warren of Oppenheimer: Investor Disputes

On February 10, 2021, a beneficiary of a trust alleged that a check was deposited without the beneficiary’s consent. The investor sought $125,000, but the dispute was denied. “Denials” simply mean that the firm denies their representative engaged in misconduct. They do not indicate that FINRA has reviewed the dispute. Investors can still recover their losses following a denial.

On May 5, 2021, an investor alleged that Jeffrey Warren recommended unsuitable investments and made misrepresentations. The investor is seeking $30,000; the dispute is pending. 

Jeffrey Warren Background Information

Warren has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination

Jeffery Warren has worked for the following firms during his 25-year career:

  • Oppenheimer & Co (CRD #: 249)
  • Wachovia Securities (CRD #: 19616)
  • UBS Financial Services (CRD #: 8174)
  • Prudential Securities Incorporated (CRD #: 7471)

Kurta Law Can Help 

If you worked with Jeffrey Warren and you have concerns about your investments, contact Kurta Law today. Call 212-658-1502 or email jkurta@kurtalawfirm.com.