Farmers Financial Solutions LLC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/21/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017052173001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Farmers Financial Solutions, LLC (Respondent) Member Firm CRD No. 103863 Pursuant to FINRA Rule 9216, Respondent Farmers Financial Solutions, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2017052173001finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/09/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015341602 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Farmers Financial Solutions, LLC, Respondent [CRD No. 103863] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Farmers Financial Solutions, LLC ("Respondent" or "FFS") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2008015341602finra.orgdata-portal.finra.org
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