Tori K. Uhiren (also known as Tori K. Hickey), of Bloomington, Illinois, a stockbroker registered with State Farm VP Management Corporation, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Uhiren failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Letter of Acceptance, Waiver, and Consent No. 2022075514701 (April 17, 2023).
According to the AWC, on June 30, 2022, State Farm submitted a Uniform Termination Notice of Securities Industry Registration (Form U5) regarding Uhiren. The securities broker dealer disclosed that Uhiren was allowed to resign on June 30, 2022, based upon allegations that Uhiren failed to supervise operations and individuals of the company.
Subsequently, on September 20, 2022, as part of an investigation, FINRA personnel asked for Uhiren to provide information and documents related to the potential violations identified in the Form U5. However, Uhiren did not provide a response to the regulator’s request. The AWC stated that on October 5, 2022, FINRA personnel resent the same request to Uhiren.
During communications between Uhiren and FINRA personnel between October 19, 2022, and January 12, 2023, as well as through the stockbroker’s email to the regulator on January 12, 2023, Uhiren confirmed that she obtained FINRA’s documents and information request and that she was not going to cooperate with that request at any point. FINRA found that by refusing to comply in the investigation, Uhiren violated FINRA Rules 2010 and 8210.
Uhiren’s registration with State Farm VP Management Corporation was terminated on June 30, 2022.
