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Adam Warren has over 30 years of experience in the financial services industry working with numerous firms on trading, valuation, investments, and operational and risk management issues for a wide variety of global clients.


Mr. Warren specializes in financial services industry issues with an emphasis on financial, commodity, and complex derivative instruments; trading systems and processes; financial markets and exchanges; technology and operations; and market, credit, and operational risk management of financial, derivative, and commodity products. He has assisted more than 15 securities, commodity, and derivative exchanges, as well as numerous regulators, brokerage firms, clearing houses, hedge funds, and investment management companies globally.

Mr. Warren also provides court and arbitration testimony. He has testified in US federal courts, several state courts, and international courts. Also, Mr. Warren has testified in Financial Industry Regulatory Authority and other SRO arbitrations regarding issues such as industry standards and practices, alleged front running, insider trading, Regulation SHO and NMS violations, valuation and structure of auction rate securities, and the nature of the auction rate securities market, options trading, and complex derivative valuation. Mr. Warren has also testified before the International Court of Arbitration of the ICC.


  • MBA in finance, University of Chicago
  • BA in history, University of Chicago