Charles Thomas Stevens
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/26/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHARLES THOMAS STEVENS (CRD No. 1698058), Respondent. Disciplinary Proceeding No. 2017056627801 Hearing Office—MC DEFAULT DECISION March 26, 2021 Respondent Charles Thomas Stevens is barred from associating with any FINRA member firm in any capacity for failing to appear and provide on-the-record testimony. Because of the bar, no separate sanctions are imposed for Stevens’ (i) failures to update his Form U4
12/01/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Charles Thomas Stevens (CRD No. 1698058), Respondent. Disciplinary Proceeding No. 2017056627801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From February 2006 through February 2020, while associated with two FINRA member firms, Respondent Charles Thomas Stevens willfully failed to amend his Uniform
Reference 2017056627801data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1698058 |
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