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Written by 7:19 pm Blog, Current Investigations

Broker Warren Rowe Jr., Oppenheimer, Barred from the Securities Industry 

Broker Warren Rowe, Oppenheimer, Barred from the Securities Industry, featured by top securities fraud attorneys, the White Law Group

Oppenheimer Broker Warren Ellewood Rowe Jr. Barred after Allegations of taking Loans from Customers 

According to the Financial Industry Regulatory Authority (FINRA) on January 3, 2022, the regulator has barred Warren Ellwood Rowe (CRD #1065880) after he purportedly refused to provide documents and information requested by FINRA in connection with its investigation into allegations that he took impermissible loans from customers. 

Rowe was reportedly affiliated with the following firms during his career, among others, according to FINRA:     

03/11/2011 – 05/04/2020, OPPENHEIMER & CO. INC. (CRD#:249), RICHMOND, VA,  

03/13/2009 – 03/17/2011, RBC CAPITAL MARKETS, LLC (CRD#:31194), RICHMOND, VA 

07/11/2003 – 03/13/2009, FERRIS, BAKER WATTS, LLC (CRD#:285), RICHMOND, VA 

According to his FINRA Broker Check profile, Rowe has 7 customer complaints filed against him during his career in the securities industry.  

Potential Lawsuits to Recover Financial Losses       

The White Law Group is investigating potential securities fraud lawsuits regarding the liability that Rowe’s employers may have for failure to properly supervise him.         

When brokers and registered investment advisors violate securities laws, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.         

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. We represent investors in all 50 states including Virginia. Our attorneys have recovered millions of dollars from many brokerage firms in the past.         

If you are concerned about your investments with Warren Rowe, please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation.          

For more information on The White Law Group, and its representation of investors, please visit www.WhiteSecuritiesLaw.com.          

          

 

 

Tags: , , , , , , , , , Last modified: March 31, 2022