Boca Raton, Florida
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.
To resolve allegations that she wrongfully converted $12,100 from a customer’s account for her own use and benefit, Arhonda T’Lene Guinn, who formerly worked for Stifel NIcolaus in Vero Beach, FL, consented to an order barring her from the securities industry. The findings also state that Guinn falsified a Letter of Authorization the customer had previously signed to facilitate the wrongful transfer.
If you suffered damages in an account handled by Guinn, contact us to learn how you may be able to recover your losses.
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.
Florida-561 391 1900