FINRA sanctioned securities broker James Elroy Burton Jr. [CRD: 5051310, Bakersfield, California], and investors complained about him, according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Burton worked for Farmers Financial Solutions LLC from July 27, 2007, to October 20, 2023. Read on to find out more about Burton’s disclosures and what investors should know.
Notably, on April 24, 2025, FINRA issued Case 2023080049002 sanctioning James Burton after determining that he failed to provide documents requested during an investigation. Burton was permanently barred from associating with any FINRA member in all capacities. According to FINRA, the investigation involved the sale of promissory notes connected to a company that claimed to offer investments in crypto asset programs. While Burton initially cooperated, he later stopped doing so, and FINRA reported that he acknowledged receiving a Rule 8210 document request but declined to produce the materials.
FINRA stated that Burton’s refusal to comply violated Rules 8210 and 2010, which require individuals to provide information and uphold ethical standards. Burton resolved the matter through a Letter of Acceptance, Waiver, and Consent, agreeing to the findings without admitting or denying them.
Also, a client of Farmers Financial Solutions LLC contested Burton’s sales practices by filing FINRA Arbitration No. 23-02790 on October 10, 2023. Allegedly, Burton failed to disclose material facts and recommended unregistered securities. It appears that Burton allegedly caused the client to sustain damages associated with promissory notes. As a result, the client seeks compensation from Farmers Financial Solutions LLC or Burton in the amount of $110,000 in this ongoing matter.
Particularly, Farmers Financial Solutions LLC disaffiliated with Burton on October 20, 2023. Allegedly, Burton failed to disclose a private securities transaction and activities relating to promissory notes, violating firm policy.
Did you suffer any investment-related losses because of James Burton? If so, reach out to Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney regarding a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm takes cases on a contingency fee basis and advances all costs. Burton and the brokerage firms Burton worked for deny accusations of sales practice violations.
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