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Suzanne Charrin Fired from Woodbury Financial Services

Jun 30, 2022 Fired Brokers

Suzanne Charrin (CRD #: 4487222), a formerly registered broker with Woodbury Financial Services, was recently terminated. This is according to her BrokerCheck record, accessed on June 16, 2022. For more information regarding her termination, keep reading.

On April 19, 2022, Woodbury terminated Suzanne Charrin following allegations that she participated in an unapproved outside business. They further alleged that she engaged in prohibited activities consistent with the firm’s policies and procedures.  

Outside Business Activities

FINRA Rule 3270 requires that brokers provide written notice to their firms regarding their outside business activities. A violation of FINRA Rule 3270 also constitutes a violation of FINRA Rule 2010, which requires registered representatives to observe high standards of commercial honor and just and equitable principles of trade. 

Suzanne Charrin has the following outside businesses on her detailed BrokerCheck record.

  1. Sales of Fixed Insurance – Annuities and life insurance with various companies
  2. LMP Media Communication – Advertising
  3. SS Charrin Enterprises – Real estate
  4. Vacasa – Treasurer for HOA
  5. 4418 Quartzite Place LLC – Rental house

On December 13, 2018, an investor alleged that Suzanne Charrin recommended an unsuitable investment. The dispute was denied by the firm, but investors should know that investors can still recover their losses following a denial.

Background Information

Suzanne has passed the following exam:

  • Series 65 Uniform Investment Adviser Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination
  • Series 6 Investment Company Products/ Variable Contracts Representative Examination

She has worked for the following firms:

  • Woodbury Financial Services (CRD #: 421)
  • Sunset Financial Services (CRD #: 3538)
  • Securities Management & Research (CRD #: 759)

Kurta Law Can Help

If you worked with Suzanne Charrin and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.