Former broker Hugues Guirand was barred by FINRA in connection with his alleged solicitation of a customer’s investment in real estate transactions without his member firm’s approval and subsequent failure to provide documents and information requested by FINRA, according to FINRA’s Default Decision, under review by attorney Alan Rosca.
Investment loss attorney Alan Rosca and his colleagues, of the Rosca Scarlato LLC law firm, are investigating conduct related to Guirand’s alleged refusal to provide information and documents and failure to appear for on-the-record testimony, among others. Investors who are concerned about their investments with former broker Hugues Guirand may reach out to attorney Alan Rosca for a free, no-obligation consultation and discussion of potential options, or to provide any useful information. Interested Hugues Guirand investors may call 888-998-0530, send an email to arosca@rscounsel.law, or complete the contact form on this webpage.
Guirand Involved in a Customer Complaint Filed with FINRA
In October 2020, one of Guirand’s former customers purportedly filed a statement of claim with FINRA alleging that he solicited the customer’s investment in real estate transactions without the firm’s approval according to FINRA’s complaint. FINRA commenced an investigation into Guirand’s conduct in connection with these transactions. Guirand allegedly failed to provide FINRA with requested information and documents, and failed to appear for on-the-record testimony. On July 26, 2021 FINRA entered a default decision barring Hugues Guirand from associating with any FINRA member firm in any capacity.
Guirand Was a Registered Broker for 20 Years
According to Guirand’s FINRA Brokercheck Page, he has been registered with FINRA since 1998. In July 2007, he joined Woodstock Financial Group, Inc., in Woodstock, Georgia.
Between April and June of 2005, Guirand was registered with Archer Alexander Securities Corporation in Kansas City, Missouri. In August 2007, the firm was expelled by FINRA after allegedly failing to pay fines and/or costs of $108,450.10, according to a BrokerCheck report.
Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any BrokerCheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog, and are the governing materials in case of any inconsistencies or typos in this blog.
Concerned about investments with
Guirand Investors May Have Options
The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and is currently investigating conduct related to broker Hugues Guirand’s allegations of alleged involvement in offering private securities investments not approved by his firm, among others.
The firm takes most cases of this type on a contingency fee basis and advances the case costs, and only gets paid for its fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.
Concerned Hugues Guirand investors may contact attorney Alan Rosca, or his colleagues for a free no-obligation case evaluation and discussion of potential options, at 888-998-0530, via email at arosca@rscounsel.law or through the contact form on this webpage.