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Arhonda Guinn-Former Stifely,Nicolaus Broker-Discloses Discharge & Regulatory Bar

Arhonda Guinn-Former Stifely,Nicolaus Broker-Discloses Discharge & Regulatory Bar 150 150 Rex Securities Law

Vero Beach, Florida

According to FINRA records,  Arhonda Guinn  a stockbroker who formerly worked for Stifel, Nicolaus & Co.  discloses  a regulatory event and a termination.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

 Guinn was discharged by Stifel, Nicolaus & Company on May 5, 2014. The company made the following allegations:
“Employee transferred money without authorization from a client account to a third party for employee’s benefit.”
Without admitting or denying FINRA findings that she transferred customer funds to her landlord without the customer’s knowledge or consent, Guinn agreed to a permanent bar from the securities industry.
Guinn was also known by the following names:
  • Arhonda T’Lene Ward
  • Arhonda T. Guinn
FINRA records report the following registration history:
  • March 2009-May 2014 Stifel Nicolaus
  • Jan. 2009-March 2009 Stanford Group
  • Jan 2008-Jan 2009 Wachovia Securities
If you have suffered losses in an account handled by Arhonda Guinn, call to discuss with an experienced securities attorney how you can pursue recovery of losses through FINRA arbitration.

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.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

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