Charlotte Ann Guin—Failure to Provide Documents and Information
Charlotte Ann Guin Allegedly Converted the Funds of a Non-Firm Customer
Charlotte Ann Guin allegedly converted the funds of a Non-Firm Customer, among other things, according to recent FINRA Letter of Acceptance, Waiver and Consent (AWC).
In addition, the AWC notes, Guin became associated with JP Morgan in June of 2009, and in April 2015, JP Morgan submitted a termination notice with FINRA discharging Guin from the firm.
The AWC also reports that after an absence from the securities industry from September 2003 until June 2009, Guin was approved to be a General Sales Representative in June 2011.
Charlotte Ann Guin Barred For Failure to Provide Documents and Information
Charlotte Ann Guin allegedly failed to provide documents and information as requested during the time FINRA investigated allegations that Guin converted the funds of a non-Firm customer, according to the AWC.
By refusing multiple requests from FINRA, via letter and phone, to produce documents and information, Guin violated FINRA Rules, and hence, has been barred by FINRA from associating with any FIRNA member firm in any capacity.
The Peiffer Rosca Wolf Investor Rights Lawyers Helping Investors
The Peiffer Rosca Wolf investor rights lawyers often represent investors who lose money as a result of non-firm customer fund conversion. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.
Investors who believe they lost money as a result of non-firm customer fund conversion may contact the investor rights lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at 888-998-0520.
Broker: Charlotte Ann Guin
Status: INVESTIGATED by Peiffer Rosca.
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