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Tori Uhiren Resigns from State Farm Following Allegations

Tori Uhiren (CRD #: 6303936) resigned from her firm, according to her BrokerCheck record, accessed on August 13, 2022. Read on if you have questions about her conduct as a broker.

Resignation from State Farm

On June 24, 2022, Tori Uhiren resigned from State Farm VP Management Corporation following an internal review that allegedly concluded she failed to supervise daily operations and team members.

FINRA Rule 3110

Failure to supervise violates FINRA Rule 3110, which requires firms to create and enforce supervisory systems to ensure their compliance with securities regulations. Written supervisory systems are designed to catch red flags of unsuitable trading and broker fraud. It is up to the firm to ensure that its supervisors have appropriate training. 

FINRA Rule 2010

FINRA Rule 2010 requires brokers to uphold high standards of commercial honor and just and equitable principles of trade.

Background Information

Tori Uhiren has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination.

Kurta Law Can Help

If you worked with Tori Uhiren and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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