JEFFREY ALAN SMILEY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/26/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009017891101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jeffrey Alan Smiley, Respondent Farmers Financial Solutions, LLC (CRD No. 4644722) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jeffrey Alan Smiley ("Smiley") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2009017891101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4644722

Other names1

Also known as1

JEFFREY ALAN SMILEY, SR.

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.