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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 […]

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 […]

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 […]