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State of Michigan Initiates Regulatory Action Against Arthur Stevens

Dec 22, 2022 Regulatory Action

Arthur Stevens (CRD #: 2891757), a broker registered with Packerland Brokerage Services, is the subject of pending state regulatory action, according to his BrokerCheck record, accessed on December 14, 2022. Read on to learn more about his alleged conduct as a broker.

State of Michigan Regulatory Action

On September 6, 2022, the State of Michigan Department of Insurance and Financial Services initiated a regulatory action based on allegations by Athene Annuity and Life Insurance Company that Arthur Stevens called their customer service line on a client’s behalf and impersonated the client. This action is currently pending.

FINRA Rule 2010

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

Background Information

Arthur Stevens 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

Arthur Stevens is a registered broker in Colorado, Kentucky, Michigan, and Wisconsin.

He has also worked for the following firms:

  • Centaurus Financial (CRD#:30833)
  • KCD Financial (CRD#:127473)
  • Transamerica Financial Advisors (CRD#:3600)
  • Legend Equities Corporation (CRD#:30999)
  • Waddell & Reed (CRD#:866)

Kurta Law Can Help

If you worked with Arthur Stevens and you have concerns about your investments, please contact us today at 877-600-0098 or 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.