Justin Casey Funakura, of Bakersfield, California, a stockbroker previously registered with Farmers Financial Solutions LLC, has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in all capacities for six months and fined $10,000.00 by FINRA because Funakura participated in private securities transactions or “selling away,” without prior notice or approval from…
John Petrone of Willowick, Ohio, a stockbroker registered with Farmers Financial Solutions LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) in any capacity because Petrone refused to provide information and documents during an investigation into his potential misappropriation of funds from an elderly investor. Letter of Acceptance, Waiver, and Consent…
Thomas Phillip Simpson, of Clifton, Texas, a stockbroker registered with Farmers Financial Solutions LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Simpson failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Letter of Acceptance, Waiver, and Consent No….
Cory James Tinsley, of Rochester, New York, a stockbroker registered with Farmers Financial Solutions LLC, has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Tinsley failed to cooperate with FINRA’s request for information. FINRA Case No. 2021070388501 (August 31, 2022). FINRA Public Disclosure shows that Tinsley was…
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…
Kirk James Bertsch of Spearfish South Dakota a stockbroker formerly employed by Farmers Financial Solutions LLC has been identified in a customer initiated investment related written complaint on February 27, 2020 where the customer sought $24,361.09 in damages founded on accusations of an unregistered promissory note purchase executed by Bertsch while he was employed by…
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…
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…
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…
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…
Ka Kiertonkaysy Lor, of Sacramento, California, a registered representative with Farmers Financial Solutions, was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that she converted customers’ funds. Department of Enforcement v. Lor, No. 2014041073501 (Apr. 7, 2016). According to the Complaint, in October 2013, Lor, an insurance agent who…
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,…
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…
Elise Joy Williams, a former representative with Farmers Financial Solutions, LLC, was barred from association with any FINRA-registered firm in all capacities after the Department of Enforcement found that Elise Joy Williams, in violation of FINRA Rule 2010, issued roughly 100 fabricated homeowner’s policies and collected nearly $67,000 in commission payments as a result. Letter…