Meyer Wilson is currently investigating misconduct allegations facing a former JP Morgan broker, Charlotte Ann Guin (CRD# 4050796). Guin accepted and consented to FINRA’s findings that she failed to respond to FINRA’s request for documents and information during the course of a FINRA investigation over allegations she converted the funds of a non-firm customer while she was registered with JP Morgan.
Guin became associated with JP Morgan in June 2009, and in April 2015, JP Morgan submitted a termination notice with FINRA discharging Guin from the firm. JP Morgan reported that it had terminated Guin’s employment based on allegations that she had potentially recommended an unapproved outside investment to a non-JP Morgan customer.
It is against securities industry regulations to participate in business activity outside the scope of a broker’s managing firm. Brokers that do engage in outside business activity must first disclose the activity and get it approved by their managing firm. Allegedly, Guin failed to do this when she recommended a promissory note to a customer who was not affiliated with JP Morgan.
If you invested with former JP Morgan broker Charlotte Ann Guin and lost money, we invite you to contact Meyer Wilson today to discuss your case for free. Let us explain your legal rights and options!