Former Seattle, Washington financial advisor William Sandeman (CRD# 831384) was recently sanctioned and barred in connection with alleged rule violations....
Read MoreIryna Warren: Merrill Denies Complaint Against Advisor
A recent, denied investor complaint against Washington, DC financial advisor Iryna Warren (CRD# 6286876) alleged that her conduct resulted in damages. Financial Industry Regulatory Authority records show that she is registered as a broker and an investment advisor with Merrill Lynch.
Mr. Warren’s BrokerCheck report discloses one investor complaint. Filed in January 2025, it alleged that as a representative of Merrill Lynch, she failed to follow instructions in connection with options trades between November 2024 and January 2025. The complaint alleged unspecified damages and was denied by the firm.
FINRA Rule 2010 stipulates that brokers like Ms. Warren must “observe high standards of commercial honor and just and equitable principles of trade.” Various forms of unethical conduct, such as the failure to follow a customer’s instructions, may be found to violate this rule FINRA, provided the alleged activities occur “in the conduct of [the member’s] business.” Persons associated with FINRA who fail to uphold this rule may be held liable in the event of losses.
Merrill Lynch’s website includes a profile of Ms. Warren that describes her experience and services. “As a Senior Financial Advisor Iryna can assist you by helping you build a wealth management strategy to address your individual needs,” it explains. “Iryna focuses on delivering a comprehensive approach to managing wealth, beginning by listening and helping you make informed decisions as you develop your strategy.”
According to the Financial Industry Regulatory Authority, Iryna Warren holds seven years of securities industry experience. Based in Washington, DC, she has been registered as a broker and an investment advisor with Merrill Lynch since 2017. Her credentials include the passage of three securities industry qualifying exams: the Uniform Combined State Law Examination, or Series 66; the Securities Industry Essentials Examination, or SIE; and the General Securities Representative Examination, or Series 7. She holds 32 state licenses. (Information current as of February 23, 2025.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.
