Tag Archives: State Farm VP Management Company

State Farm Stockbroker Barred By In Theft Investigation

May 13, 2020  |   Posted by :   |   Misappropriation of Funds, Stockbroker Theft   |   Comments Off on State Farm Stockbroker Barred By In Theft Investigation

Karen Denise Clark-Kocinski of Bloomingdale Illinois a stockbroker formerly registered with State Farm VP Management Corp. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that she failed to comply with FINRA personnel during the period that she was being investigated for misappropriating funds belonging […]

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State Farm Stockbroker Barred In Investigation

March 26, 2020  |   Posted by :   |   Misappropriation of Funds, Stockbroker Theft   |   Comments Off on State Farm Stockbroker Barred In Investigation

David Lance Hall of Bakersfield California a stockbroker formerly registered with State Farm VP Management Corp. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Hall avoided cooperating with FINRA during the time that he was investigated for failing to comply with State Farm’s […]

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State Farm VP Management Broker Suspended For Forgery

November 03, 2018  |   Posted by :   |   Forgery, Investment and Regulatory News, Variable Annuites   |   0 Comments

Steven John Sosnowski of Bloomington Illinois a former State Farm VP Management Corp. registered representative has been fined $5,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he forged a customer’s signature on a life insurance policy. Letter of […]

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State Farm Broker Barred By FINRA For Failure To Respond

September 27, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Benjamin Philip Brown of Bloomington Illinois a former State Farm VP Management Corp registered representative has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that he failed to cooperate with FINRA’s request for his information. Case No. 2017054972901 (Dec. 22, 2017). FINRA Public Disclosure confirms […]

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State Farm Broker Fined For Unauthorized Transactions

Shannon Lynn Lewis of Muscatine, Iowa, a registered representative with State Farm VP Management Company, has been fined $7,500.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he engaged in unapproved securities transactions. Letter of Acceptance, Waiver and Consent, No. […]

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