Erez Law is interested in speaking with investors who may have suffered losses due to investments with former J.P. Morgan Securities LLC financial advisor Charlotte Guin (CRD# 4050796) regarding investment losses. Guin has been registered with J.P. Morgan Securities LLC in Houston, Texas from 2011 to 2015, when she was terminated regarding, “Employee had potentially recommended an unapproved outside investment to a client that was not disclosed to the firm.”
In August 2015, FINRA barred Guin after she consented to the sanction and to the entry of findings that she failed to provide documents and information as requested by finra during the course of finra’s investigation into allegations that guin, among things, converted the funds of a non-firm customer.
Guin has been the subject of one customer complaint, according to her CRD report:
November 2016. “Client alleges registered representative formerly employed by the firm diverted funds from the client’s accounts held at a firm affiliate, and further alleges registered representative created false loan guarantees and made misrepresentations in connection with the benefits of paying off certain loans. Activity dates March 2004 through March 2015.” The customer is seeking $10 million in damages and the case is currently pending.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, J.P. Morgan Securities LLC may be liable for investment or other losses suffered by Guin’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.