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Ben Adams Resigns from Northwestern Mutual Investment Services

Ben Adams (CRD #: 6637068), a broker formerly registered with Northwestern Mutual Investment Services, was permitted to resign following allegations of misconduct, according to his BrokerCheck record, accessed on July 12, 2023. If you want to know more about his alleged conduct as a broker, keep reading.

Resignation from Northwestern Mutual

On May 8, 2023, Ben Adams was permitted to resign from Northwestern Mutual Investment Services after allegedly admitting to using his personal phone number and email address to authenticate electronic signatures for seven clients.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to adhere to firm policy regarding signature authentication may constitute a violation of FINRA Rule 2010. 

Background Information

Ben Adams has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 7TO – General Securities Representative Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

He previously worked for Northwestern Mutual Investment Services (CRD#:2881).

Kurta Law Can Help

If you worked with Ben Adams 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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