Casey Wayne Walker of Lake Lotawana Missouri a broker formerly registered with Farmers Financial Solutions LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Walker chose not to cooperate with FINRA in an investigation into Walker’s possible misconduct pertaining to premium payments on insurance policies. Letter of Acceptance Waiver and Consent No. 20180588383-01 (Feb. 6, 2019).
According to the AWC, an investigation had been launched into Walker’s activities after he had been terminated from Farmers Financial on June 5, 2018. Apparently, the firm provided FINRA with a Form U5 indicating that Walker engaged in possibly violative conduct with regard to the processing of customers’ insurance premium payments.
As part of the investigation under Rule 8210, FINRA asked Walker on January 10, 2019 to provide information and documentation to the regulator. However, Walker responded to FINRA staff that day revealing that he had no intention of providing FINRA with the information or documentation requested of him. FINRA found that Walker’s refusal to participate in the investigation was violative of FINRA Rules 2010 and 8210. Consequently, FINRA barred Walker in all capacities.
