Investors Allege Steven Skipper Made Misrepresentations

Steven Skipper (CRD #: 4265009), a broker registered with Cetera Advisors, allegedly made misrepresentations, according to his BrokerCheck record, accessed on February 16, 2023. Read on to learn more about his alleged conduct as a broker.

Investor Disputes

On January 11, 2023, multiple investors filed a dispute alleging Steven Skipper made misrepresentations between January 1, 2012, and January 26, 2020. They seek $400,000 in damages in this pending dispute.

In a dispute filed on January 15, 2020, several investors also named Steven Skipper in allegations of misrepresentation across the same period. This dispute was denied by the firm.

However, investors should be aware that firms don’t need to permit an external review before denying a dispute. Investors can still pursue FINRA arbitration after a denial and may be able to recoup their losses.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of deception, manipulation, and other fraudulent means of influencing the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

Background Information

Steven Skipper has passed the following exams:

• 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 24 – General Securities Principal Examination

Steven Skipper is a registered broker in 13 states and a registered investment adviser in Tennessee.

He has also worked for LPL Financial (CRD#:6413) and Edward Jones (CRD#:250).

Kurta Law Can Help

If you worked with Steven Skipper 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.