Suzanne Charrin Investigation
April 2023-Greenwood, CO
According to publicly available records Suzanne Charrin, a former broker who last worked for Woodbury Financial Services, discloses a final regulatory matter resulting in a permanent bar from the industry and a termination from employment.
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.
In 1/2023 FINRA permanently barred Charrin from the industry to resolve allegations that she provided false information to FINRA in connection with its investigation in to allegations that she engaged in an undisclosed OBA. The findings stated that Charrin falsely stated that her OBA involved the extraction of lavender oil and manufacture of lavender oil products, when in fact, both businesses were involved in the CBD oil industry. Charrin admitted that she provided FINRA with false information related to her activities.
Charrin was employed by Woodbury Financial from 1/2005 until 4/2022 when she was discharged for her participation in an unapproved outside business activity and for conducting prohibited activities.
If you have suffered losses in an account handled by Suzanne Charrin , contact us for a no charge consultation to learn how you may be able to recover damages 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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