• August 20, 2024
• Northwestern Mutual Investment Services, LLC

Jordan Stentiford (CRD#:6946439) was a previously registered broker.

Broker’s Background

He entered the securities industry in 2020 and previously worked with Northwestern Mutual Investment Services, LLC.

Allegations of Misconduct

According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in July 2024, without admitting or denying the findings, Stentiford consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into the circumstances giving rise to the Form U5 filed by his member firm disclosing that he had been permitted to resign after admitting to signing a customer’s name on a form to apply for life insurance. As a result, Respondent also consents to the imposition of the following sanctions:
• a bar from associating with any FINRA member in all capacities.

For a copy of the Disciplinary Action Details, click here.

In addition, Jordan Stentiford has one other FINRA Disclosure:
• October 2023—Permitted to Resign from Northwestern Mutual Investment Services, LLC, “ Registered Representative was permitted to resign after admitting to signing a customer’s name on a form to apply for life insurance.”

For a copy of Jordan Stentiford’s FINRA BrokerCheck, click here.

We Help Investors Recover Investment Losses
FINRA regulations require that a customer’s written authorization is required before a broker-dealer can carry out transactions in the customer’s account. In addition, the broker-dealer’s member firm needs to approve the broker-dealer’s authorization. These measures are intended to protect the customer. Discretionary trading allows the broker-dealer to unilaterally decide to buy or sell securities at any price and not have to check with the client first. Exercising discretion without authorization can be costly to investors, and broker-dealers and their member firms, too.

In addition, to the extent a Financial Advisor converts client assets during the course and scope of his employment and/or registration with the brokerage firm, that brokerage firm may be held liable for any attendant losses.

The Wolper Law Firm represents investors nationwide in securities litigation and arbitration on a contingency fee basis. Matt Wolper, the Managing Principal of the Wolper Law Firm, is a trial lawyer who has handled hundreds of securities cases during his career involving a wide range of products, strategies and securities. Prior to representing investors, he was a partner with a national law firm, where he represented some of the largest banks and brokerage firms in the world in securities matters. We can be reached at (800) 931-8452 or by email at mwolper@wolperlawfirm.com.