Wells Fargo Clearing Services Fired Heather Skipper
Heather Skipper (CRD #:2126799), a formerly registered broker, was recently fired by Wells Fargo Clearing Services according to her BrokerCheck record, accessed on February 2, 2022.
On October 13, 2021, Wells Fargo Clearing Services fired Heather Skipper after she allegedly affixed a Qualified Supervisor’s initials to a firm document without the Qualified Supervisor’s knowledge or permission.
Heather Skipper Allegedly Violated FINRA Rules 4511 and 2010
FINRA Rule 4511 requires each member to make and preserve books and records in conformity with Section 17(a) of the Exchange Act and Exchange Act Rule 17a-3. Inherent in the obligation to maintain books and records is the requirement that they must be accurate.
Failing to keep or preserve records accurately violates this rule and constitutes a violation of FINRA Rule 2010, which requires that members and their associated persons “observe high standards of commercial honor and just and equitable principles of trade.”
Heather Skipper Background Information
Heather Skipper has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
- Series 53 – Municipal Securities Principal Examination
Besides Wells Fargo Clearing Services, she has also worked with the following firms:
- Vanguard Marketing Corporation (CRD#:7452)
- Primevest Financial Services (CRD#:15340)
- Penn Securities (CRD#:45622)
- First Clearing Corporation (CRD#:17344)
- Meridian Securities (CRD#:16468)
Kurta Law Can Help
If you have been victimized after working with Heather Skipper, don’t hesitate to contact us today at 877-600-0098 or email@example.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors 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.