FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHARLES THOMAS STEVENS (CRD No. 1698058), Respondent. Disciplinary Proceeding No. 2017056627801 Hearing Office—MC DEFAULT DECISION March 26, 2021 Respondent Charles Thomas Stevens is barred from associating with any FINRA member firm in any capacity for failing to appear and provide on-the-record testimony. Because of the bar, no separate sanctions are imposed for Stevens’ (i) failures to update his Form U4