Charlotte Ann Guin, Financial Advisor Barred from Securities Industry | Goodman and Nekvasil May Recover Investors Losses

Goodman and Nekvasil May Recover Investors Losses | Charlotte Ann Guin, Financial Advisor Barred from Securities Industry 

Charlotte Guin was licensed with J.P. Morgan Securities LLC from 2011 to 2015. According to FINRA, Charlotte Ann Guin was barred from association with any Financial Industry Regulatory Authority (FINRA) member firm.

FINRA reports that Charlotte Guin consented to the sanction and to the entry of findings that Charlotte Guin failed to provide documents and information as requested by FINRA during the course of FINRA’s investigation into allegations that Charlotte Guin, among things, converted the funds of a non-firm customer.

Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, continues to investigate brokerage firms that placed elderly retirees and other conservative investors in high-risk investments.

If you lost any money on investments with Charlotte Guin, you may be able to recover your losses from J.P. Morgan Securities LLC. This is because J.P. Morgan Securities LLC had a duty to supervise Charlotte Guin.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. We would like to discuss the possibility of your retaining our firm to represent you in an arbitration action.

Goodman & Nekvasil, P.A., has filed hundreds of cases against brokerage firms selling high-risk investments and has recovered more than $180 million dollars on behalf of victimized investors.  We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.  All our cases are handled on a purely contingency fee basis.

There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf. Finally, the filing of such a case should not affect your ownership of these investments in any way.

If you incurred losses on your investment  with Charlotte Guin and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

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