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.

For brokercheck report and additional info click here!

Alan Rosca (1180 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.