Category Archives: Banc One Securities Corp

Former JP Morgan Broker From Huffman Texas Sanctioned by Securities Regulators

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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