Joseph Scott Eckhoff of Lakewood Colorado a stockbroker formerly employed by Farmers Financial Solutions LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Eckhoff failed to cooperate with FINRA during its investigation into accusations of Eckhoff’s possible violations of FINRA rules. Letter of Acceptance Waiver and Consent No. 2018058937702 (July 22, 2019).
According to the AWC, an investigation had been launched by FINRA into Eckhoff four days after Eckhoff’s termination from Farmers Financial Solutions LLC on June 21, 2018. Supposedly, the firm disclosed to FINRA that it terminated Eckhoff for an unspecified issue.
Evidently, FINRA received information and documents from Eckhoff in response to its requests under Rule 8210. However, this led FINRA to ask Eckhoff to hand over additional information and documentation. Apparently, he was expected to comply by a July 18, 2019 deadline. However, Eckhoff responded to FINRA on July 3, 2019 to confirm that he received FINRA’s request but would not be providing any additional information and documentation. Ultimately, Eckhoff failed to cooperate any further in FINRA’s investigation. Consequently, FINRA found Eckhoff’s conduct violative of FINRA Rules 2010 and 8210.
