Tag Archives: Farmers Financial Solutions LLC

Farmers Financial Sanctioned For Failure To Supervise

July 12, 2021  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News, Mutual Fund Fraud, Variable Annuites   |   Comments Off on Farmers Financial Sanctioned For Failure To Supervise

Farmers Financial Solutions LLC a securities broker dealer headquartered in Westlake Village California has been censured and fined $100,000.00 by Financial Industry Regulatory Authority (FINRA) supported by findings that the securities broker dealer failed to supervise its mutual fund business and its variable universal life insurance business. Letter of Acceptance, Waiver and Consent No. 2017052173001 […]

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Farmers Stockbroker Sanctioned For Selling Away

June 23, 2020  |   Posted by :   |   Ponzi Schemes, Selling Away and Outside Activities   |   Comments Off on Farmers Stockbroker Sanctioned For Selling Away

Joe McCollum Allbright of Odessa Texas a stockbroker formerly employed by Farmers Financial Solutions has been fined $10,000.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that (1) Allbright was selling Future Income Payments LLC investments away from Farmers Financial Solutions and […]

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Farmers Stockbroker Won’t Say A Thing or Two

August 02, 2019  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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FINRA Bars Farmers Stockbroker In Investigation

Tina Marie Martinez of Yakima Washington a stockbroker formerly registered with Farmers Financial Solutions LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Martinez failed to cooperate with FINRA personnel during an investigation into her life insurance business. Letter of Acceptance Waiver and […]

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FINRA Bars Farmers Broker For Selling Woodbridge Ponzi Scheme

Kirk James Bertsch of Spearfish South Dakota a broker formerly registered with Farmers Financial Solutions LLC has been disgorged of illicit commissions and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Bertsch sold away from his firm by engaging in a promissory note […]

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Farmers Financial Broker Liable for Conversion

Keilen Dimone Wiley of Houston, Texas, a registered representative with Farmers Financial, LLC, was found by the Securities and Exchange Commission to have converted insurance premium payments and provided false and misleading information to a self-regulatory organization (Financial Industry Regulatory Authority) during an on-the-record interview. In the Matter of the Application of Keilen Dimone Wiley, […]

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Farmers Financial Solutions Stockbroker Barred for Stealing

Lydia B. Barraza, a stockbroker with Farmers Financial Solutions, LLC, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that she converted funds from a firm customer. Letter of Acceptance, Waiver and Consent, No. 2015045880301 (Oct. 20, 2015). On June 17, 2015, her […]

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