Stephen Robert Adams of Birmingham Alabama a stockbroker formerly employed by BBVA Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that Adams failed to provide FINRA’s staff information that had been requested of him in an investigation into his activities. Case No. 2017055716101 (Nov. 28, 2017).

According to FINRA Public Disclosure, Adams was suspended on March 5, 2018. Adams reportedly failed to seek the termination of his suspension by March 4, 2018 – three months from his Notice of Suspension. Evidently, FINRA warned him that his failure to respond by then would result in an automatic bar being imposed.

Apparently, on August 23, 2017 – just months prior to FINRA’s suspension of Adams – he had been discharged by BBVA Securities Inc. based upon accusations of Adams having committed violations of the firm’s conduct standards by way of borrowing a customer’s funds.

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