Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christina Skipper (Skipper), previously associated with Wealth Enhancement Brokerage Services, LLC, has at least one disclosable event. These events include one tax lien, alleging that Skipper recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on September 13, 2024.
Without admitting or denying the findings, Skipper consented to the sanctions and to the entry of findings that she fabricated an email in an attempt to conceal that her team failed to submit a redemption request on behalf of a member firm customer before the redemption deadline expired. The findings stated that to conceal this mistake, Skipper sent an email to the product issuer that included a redemption request her firm had purportedly sent to the product issuer. Skipper’s firm was later able to redeem the investment, and the customer did not suffer any loss as a result of Skipper’s misconduct.
