Suzanne Therese Charrin (also known as a Suzanne Charrin Oathout), of Greenwood Village, Colorado, a stockbroker registered with Woodbury Financial Services Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because supposedly she incorrectly described her outside business activities as involving lavender oil instead of CBD oil, and because she did not cooperate with FINRA’s investigation concerning Charrin’s outside business activities during the time that she was associated with Woodbury Financial Services inc. Letter of Acceptance, Waiver, and Consent No. 2021071665401 (January 17, 2023).
According to the AWC, on August 8, 2022, FINRA sent a request to Charrin for a copy of her 2021 income tax returns. On September 3, 2022, Charrin provided her tax returns but falsely indicated to FINRA that her accountant had made an error on the tax returns involving income from the sale of lavender oil instead of CBD oil. Charrin was also fired or terminated by Woodbury because supposedly her in connection with her CBD Oil business was, conducting prohibited activities consistent with the firm’s policies and procedures.
FINRA Public Disclosure shows that on December 13, 2018, a customer filed an investment related complaint involving Charrin’s conduct in which the customer requested more than $5,000.00 in estimated damages based upon allegations that Charrin made unsuitable recommendations of direct investments (direct participation program interests or limited partnership interests) during the time that she was associated with Woodbury Financial Services.
Charrin was associated with Woodbury Financial Services Inc. in Greenwood Village, Colorado, as a stockbroker between January of 2005 and April of 2022. Woodbury Financial Services discharged her based upon allegations of her outside business activities.
