Chris Warren

Warren Law Group is a business law firm that provides its clients with fierce strategic advocacy in the courtroom and sage advice in the boardroom. Our approach is to give our clients the freedom to pursue their vision while mitigating their risks and minimizing liability exposure. Warren Law Group represents privately held businesses of all sizes as well as investors and not-for-profit organizations in everything from formation and deal-making to protecting their rights in litigation and arbitration.

Contact Chris Warren today to learn about how Warren Law Group can protect your rights and bring your business to the next level.

New York Law School

J.D.

2013

Attorney

Warren Law Group

Current

Why Every Business Should Pay Attention to Privacy Laws

September 16, 2020

New York

New York State Office of Court Administration

• Free Consultation

Business Law

Business Contracts, Business Dissolution, Business Finance, Business Formation, Business Litigation, Franchising, Mergers & Acquisitions, Partnership & Shareholder Disputes

Securities Law

Arbitration & Mediation

Business Arbitration

White Collar Crime

• FINRA Regulatory Defense & Arbitration
• Corporate & Securities Offerings
• Partnership & Shareholder Litigation

Q. Financial investment question

June 17, 2022

A: This response does not constitute legal advice. Yes. If you take your friends' money for access to an "investment fund" an "individual" (read: not a broker) runs, you could be violating several securities laws as well as potential "blue sky" State laws. Further, based upon the limited facts you've provided, it also sounds like the "individual" who is "trading" on your behalf is violating several securities laws because they are likely an unregistered broker. Your continued participation through the unregistered individual, alone, will likely not present a legal risk to you. However, in my experience, it sounds like you may taking an unnecessary financial risk; there are no such things (yet) as a "crypto investment fund."