Public records published by the Financial Industry Regulatory Authority (FINRA) on February 23, 2017 indicate that former California-based Farmers Financial Solutions broker Ka Lor has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Lor (CRD# 4761591).
Ka Lor has spent nine years in the securities industry and was most recently registered with Farmers Financial Solutions in Sacramento, California (2008-2014). She was previously registered with PFS Investments in Duluth, Georgia (2004-2008). She has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); and Series 26 (Investment Company Products/Variable Contracts Principal Examination). She is currently not registered with any state or firm.
According to her BrokerCheck report, Ka Lor has received one FINRA sanction and was terminated from a former employer.
The post Ka Lor Permanently Barred From Acting as a Broker appeared first on Stock Fraud News & Information.