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Valentina Hepler Fired from PFS Investments

Valentina Hepler (CRD #: 5861405), a broker formerly registered with PFS Investments, was recently fired from that firm, according to her BrokerCheck record, accessed on April 11, 2023. Read on if you have questions about her alleged conduct as a broker.

Termination from PFS Investments

On March 21, 2023, Valentina Hepler was fired from PFS Investment following her termination from PFS’s life insurance affiliate company after allegedly requesting an increase in coverage on a term life application with “questionable and/or invalid” information.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Bankruptcy

On May 31, 2018, Valentina Hepler discharged a bankruptcy.

Fine by State of Maryland

On December 15, 2017, the Maryland Insurance Administration entered a consent order with Valentina Hepler, alleging that she allowed her husband, allegedly a convicted felon, to assist in her office without the consent of the Administration. He allegedly assisted in tasks not related to investment or insurance.

Valentina Hepler consented to a $5,000 fine and 24 hours of continuing education.

Background Information

Valentina Hepler has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination
  • Series 26 – Investment Company Products/Variable Contracts Principal Examination

She previously worked for PFS Investments (CRD#:10111).

Kurta Law Can Help

If you worked with Valentina Hepler 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. 

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