Benjamin Adams Allegedly Falsified Electronic Signatures

Benjamin Adams (CRD #: 6637068) is facing a FINRA suspension. This is according to his BrokerCheck record, accessed on August 6, 2025. Keep reading if you have questions regarding his alleged conduct. 

Regulatory Action 

On April 7, 2025, Benjamin Adams entered into an Acceptance, Waiver, and Consent agreement (AWC) in which he consented to the findings that he forged or falsified the electronic signatures of seven customers and two registered representatives on nine documents. 

As part of the terms of the AWC, Benjamin Adams consented to a $5,000 fine and a two-month suspension. You can read a copy of the AWC here. 

FINRA Rule 4511

FINRA Rule 4511 requires firms to keep accurate and up-to-date books and records.

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 4511 also violate this rule.

Employment Separation After Allegations 

On May 8, 2023, Northwestern Mutual Investment Services has permitted Benjamin Adams to resign following allegations that he admitted to using his personal email address and phone number to authenticate electronic signatures for seven clients in violation of Firm Policy. 

Background Information 

Benjamin Adams has passed the following exams: 

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

Kurta Law Can Help

If you worked with Benjamin Adams and 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 that 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.