According to a recent FINRA Disciplinary Actions announcement, Arhonda T’Lene Guinn (CRD #4401132, Vero Beach, Florida) submitted an AWC in which she was barred from association with any FINRA member in any capacity.
Without admitting or denying the findings, Guinn consented to the sanction and to the entry of findings that she converted $12,100 from a customer’s account at her member firm for her own use and benefit. The findings stated that without the customer’s knowledge or consent, Guinn transferred $12,100 from the customer’s firm account to a bank account belonging to her landlord. To facilitate the transfer, Guinn falsified a Letter of Authorization the customer had previously signed. Upon the transfer, the customer’s funds were used to pay six months of rent for Guinn.
For FINRA’s full findings, see FINRA Case #2014041192301.
According to her FINRA Broker Report, Guinn was registered with Stifel, Nicolaus & Company from March 2009 through May 2014.
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group.
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