May 2018 Update–Charlotte Guin is subject of $10M suit. Follow this for more information.
Original Post-August 5, 2015– Huffman, Texas
Charlotte Ann Guin , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she failed to provide documents and information during the course of a FINRA investigation into allegations that Guin converted the funds of a non-firm customer.
AWC No. 2015045263801
Guin was barred from the securities industry.
According to FINRA records, Guin was registered with J.P. Morgan Securities from 6/2011-4/2014. Prior to that she was registered with Banc One Securities Corp. from 2/2000-10/2003.
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