| FINRA.org Skip to main content

2017056627801 Charles Thomas Stevens CRD 1698058 Complaint va (2021-1609546795386).pdf

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