Marisol de Leon Resigns from Wells Fargo Clearing Services

Marisol de Leon (CRD #: 6615821), a broker formerly registered with Wells Fargo Clearing Services, resigned from the firm, according to her BrokerCheck record, accessed on June 7, 2023. Read on if you have questions about her alleged conduct as a broker.

Resignation from Wells Fargo Clearing Services

On April 17, 2023, Marisol de Leon resigned from Wells Fargo Clearing Services following an allegation that she failed to obtain all the documentation required to open a new client account.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Marisol de Leon 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 6 – Investment Company Products/Variable Contracts Representative Examination

She previously worked for Wells Fargo Clearing Services (CRD#:19616).

Kurta Law Can Help

If you worked with Marisol de Leon 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.