FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Charles Thomas Stevens (CRD No. 1698058), Respondent. Disciplinary Proceeding No. 2017056627801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From February 2006 through February 2020, while associated with two FINRA member firms, Respondent Charles Thomas Stevens willfully failed to amend his Uniform