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,… Read more »