National investor fraud law firm KlaymanToskes is investigating (“Jeffrey Warren Oppenheimer & Co. Investigation”) allegations made against Jeffrey Warren (CRD#2707969), arising from a beneficiary complaint regarding a gift given to Jeffrey Warren by the now deceased customer prior to their death.
FINRA BrokerCheck of Jeffrey Warren Oppenheimer & Co.
Jeffrey Warren was permanently barred from the securities industry after he refused to produce information and documents in response to the FINRA investigation of this customer gift to Jeffrey Warren in violation of FINRA rules. Prior to this investigation Jeffrey Warren had received four separate customer complaints related to his handling of customer accounts, although none were specifically related to other customer gifts.
Jeffrey Warren Employment History
According to FINRA BrokerCheck, Jeffrey Warren was with Oppenheimer & Co., Inc. from March 2009 to March 2021 at the branch office in Boca Raton, Florida. Prior to joining Oppenheimer & Co., Inc., Jeffrey Warren was employed with Wachovia Securities, LLC in Boca Raton, Florida.
Oppenheimer & Co. Responsibility to Supervise Jeffrey Warren
Brokerage firms like Oppenheimer & Co., Inc., are required to adequately supervise all representatives who are registered through their firm. Oppenheimer & Co., Inc. is required to take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. Brokerage firms’ failure to supervise their registered representatives may lead to liability for investment losses sustained by customers.
On March 13, 2021, Jeffrey Warren signed a Letter of Acceptance, Waiver, and Consent agreeing to his permanent bar from associating with any FINRA member in all capacities. Jeffrey Warren cannot associate with any FINRA member in any capacity, including clerical or ministerial functions.
If you lost $100,000 or more with Jeffrey Warren at Oppenheimer & Co., Inc., or if you have information relating to the way Jeffrey Warren handled your account(s), contact Lawrence Klayman, Esq. at (561) 997-9956, and download our Special Investor Report.
KT is a leading national securities law firm which practices exclusively in the field of securities arbitration on behalf of retail and institutional investors throughout the world in large and complex securities matters. KT has recovered more than $220 million for investors in FINRA arbitrations. KT has office locations in California, Florida, New York, and Puerto Rico.
Lawrence L. Klayman, Esq. (561) 542-5131