WARNING! Impending Investigation: CHARLOTTE GUIN and JP MORGAN SECURITIES
Charlotte Guin and JP Morgan Securities
Have you lost money with financial advisor Charlotte Guin of Houston, Texas? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Charlotte A. Guin. FINRA barred Guin from the securities industry after she failed to respond to a FINRA investigation. FINRA was investigating Guin regarding allegations that she converted or stole money from customers.
Charlotte Guin was a financial advisor and registered representative of JP Morgan Securities from June 2011 to April 2015. She worked at a branch office in Houston, Texas.
Brokerage firms like JP Morgan Securities have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Texas. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond Charlotte, ProEquities, Securities America, National Securities Corp., and many others.
If you lost money with Charlotte Guin or JP Morgan Securities, please Contact Us at 720-599-3505 for a free evaluation of your case.
Click to view: Guin FINRA AWC
Click to view: Guin BrokerCheck 8.6.15