Jordan Stentiford of Ridgeland, Mississippi, a stockbroker registered with Northwestern Mutual Investment Services LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Stentiford refused to appear for testimony as requested by FINRA in its investigation into Stentiford’s potential forgery of customer signatures. Letter of Acceptance, Waiver, and Consent No. 2023080630601 (July 19, 2024).
According to the AWC, on November 29, 2023, Northwestern Mutual filed a Uniform Termination Notice for Securities Industry Registration (Form U5) disclosing that Stentiford had been permitted to resign. The securities broker dealer stated that Stentiford admitted to signing a customer’s name on an application for life insurance.
The AWC stated that on June 21, 2024, during the investigation into the circumstances leading to Northwestern Mutual’s filing of the Form U5, FINRA requested that Stentiford appear for testimony. Stentiford acknowledged receiving this request but stated in an email on June 27, 2024, that he would not testify at any time. By refusing to cooperate, Stentiford violated FINRA Rules 2010 and 8210.
Stentiford was associated with Northwestern Mutual Investment Services LLC in Ridgeland, Mississippi from February 24, 2020, to November 29, 2023.
