Soreide Law Group is currently investigating potential claims on behalf of investors who may have incurred financial losses due to the actions of Thomas Simpson (also known as Phillip Simpson) (CRD: 5335897, Clifton, TX). Specifically, Simpson worked for Farmers Financial Solutions, LLC in Clifton, TX, from July 30, 2007, to March 28, 2023. Notably, FINRA barred Simpson for refusing to provide requested documents and information. Additionally, Farmers Financial Solutions reported his termination for failing to comply with company policies. Here’s more.
Evidently, FINRA initiated Case: 2023078342801 on July 7, 2023, sanctioning Thomas Simpson. Specifically, Simpson agreed to the sanctions and entry of findings without admitting or denying that he had refused to furnish documents and details sought by FINRA during its inquiry into why he was terminated from his employing firm, Farmers Financial Solutions, LLC. It appears that the company issued the termination due to his failure to follow its policies, rules, and manuals for conducting insurance business.
Did you experience losses because of Thomas Simpson? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery. Soreide Law Group has recovered money for investors throughout the United States, works on a contingency fee basis, and advances all costs. Thomas Simpson and Farmers Financial Solutions, LLC deny accusations of sales practice violations. Visit our website online to get in touch.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
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