Soreide Law Group obtained the following information from the March 2022 Disciplinary Report from FINRA's website, on the following broker:
Warren Ellwood Rowe Jr (CRD #1065880, Irvington, Virginia) formerly with Oppenheimer & Co, Inc of Richmond, Virginia.
On January 3, 2022 an Acceptance, Waiver and Consent (AWC) was issued in which Warren Ellwood Rowe Jr was barred from association with any FINRA member in all capacities.
Without admitting or denying FINRA’s findings, Warren Ellwood Rowe Jr consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with its investigation into allegations that he took loans that were not permitted from clients.
(FINRA Case #2020066566001)
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Warren Ellwood Rowe Jr had 37 years of experience in the securities industry, and had 10 disclosures on his FINRA CRD report. One of the 10 disclosures was an, “Employment Separation after Allegations,” dated May 4, 2020, from OPPENHEIMER & CO. INC., following the allegations of, “Allegedly took a loan from a client without disclosing to the firm.” Rowe voluntarily resigned.
There are 8 “Customer Disputes” on Rowe’s CRD report. The significance of Rowe’s FINRA Customer Complaints is underscored in FINRA NOTICE to MEMBERS 03-49. FINRA conducted a review of the CRD’s of all registered representatives, only .41% had been the subject of (3) or more customer complaints. In other words Rowe’s customer complaints rank him in the top one-hundredth percent of all registered representatives for customer complaints.
Warren Ellwood Rowe Jr had been listed with 7 firms, his most recent listed below:
03/11/2011 - 05/04/2020 OPPENHEIMER & CO, INC - RICHMOND, VA
If you have experienced investment losses due to the former Oppenheimer of Richmond, Virginia, broker, Warren Ellwood Rowe Jr, contact Soreide Law Group and speak to an experienced securities lawyer at no cost to you regarding the possible recovery of your financial losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group works on a contingency fee basis and represents our clients nationwide before FINRA.
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