Benjamin Adams
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/07/2025: From January 2022 through February 2023, Adams forged or falsified the electronic signatures of seven customers and two registered representatives on nine documents, including three documents that were required books and records of the firm. Therefore Adams violated FINRA Rules 2010 and 4511. Adams is suspended for two months in all capacities and fined $5,000.
Reference 2023078978701data-portal.finra.orgfinra.org
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