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.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
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