Sean Warren Allegedly Recommended Unsuitable Investments

Sean Warren (CRD #: 5749009), a broker registered with J.P. Morgan Securities LLC, is the subject of customer disputes alleging unsuitable investment recommendations and misrepresentation. This disclosure appears on his BrokerCheck record, accessed on December 20, 2025. Keep reading if you have questions regarding his alleged conduct.

Customer Allegations

On April 15, 2021, Sean Warren allegedly recommended investments that were not in a client’s best interest. Damages of $161,757 were sought in connection with the allegations. The dispute was denied.

On June 28, 2019, Sean Warren allegedly misrepresented information regarding a mutual fund investment. 

Regulation Best Interest

Regulation Best Interest (Reg-BI) is an SEC regulation that requires brokerage firms to put their clients’ best interests first. For example, firms must conduct reasonable due diligence when researching investments to ensure their recommendations are suitable for the investor.

Misrepresentation

FINRA Rule 2020 prohibits the use of manipulation, deception, and other fraudulent methods to influence investors’ decisions. This includes the misrepresentation or omission of information, such as an investment’s potential returns, risks, fees, or limitations.

High Standards of Commercial Honor 

FINRA Rule 2010 requires brokers to uphold high standards of commercial honor and just and equitable principles of trade. Misrepresentation violates this rule. 

Background Information

Sean Warren has passed the following exams:

• SIE — Securities Industry Essentials Examination

• Series 7 General Securities Representative Examination

• Series 6 Investment Company Products/Variable Contracts Representative Examination

• Series 66  Uniform Combined State Law Examination

• Series 63  Uniform Securities Agent State Law Examination

Sean Warren is a registered broker in Arizona, California, Colorado, Connecticut, Florida, Georgia, Illinois, Indiana, Iowa, Kansas, Maine, Maryland, Michigan, Minnesota, Missouri, New Jersey, New York, North Carolina, Ohio, Oklahoma, Oregon, South Carolina, Tennessee, Texas, Utah, Virginia, and Washington.

He is also registered as an investment adviser representative in Arizona and Texas.

Sean Warren has registered with the following firms:

• J.P. Morgan Securities LLC (CRD#: 79)
• Chase Investment Services Corp. (CRD#: 25574)

Kurta Law Can Help 

If you have worked with Sean Warren and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.