Sonn Law Group is investigating claims regarding Charlotte Ann Guin (CRD #4050796, Huffman, Texas). Guin recently submitted a Letter of Acceptance, Waiver and Consent (“AWC”) in which she was barred from association with any FINRA member firm in any capacity. See FINRA Case No. 2015045263801. Guin was associated with J.P. Morgan Securities, LLC, from June 2011 until her termination in March 2015. According to the Form U-5 filed by J.P. Morgan Securities to terminate Guin’s registration with the firm, Guin was discharged because she “had potentially recommended an unapproved outside investment to a client that was not disclosed to the firm.”
During the course of FINRA’s investigation, including allegations that, among other things, Guin converted funds of a non-firm customer, Guin refused to provide documents and information pursuant to FINRA’s request. In entering into the AWC, Guin neither admitted nor denied FINRA’s finding. Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, J.P. Morgan Securities may be liable for investment or other losses suffered by Guin’s customers.
If you were a client of J.P. Morgan Securities or Guin and have suffered investment losses or financial irregularities, please contact Sonn Law Group to explore your legal options. Sonn Law Group is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies. To learn more, please call us at 844-689-5754 or complete our “contact form.”