Autumn Jordan

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/10/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020068711601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Autumn Jordan (Respondent) Former Associated Person CRD No. 7099142 Pursuant to FINRA Rule 9216, Respondent Autumn Jordan submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020068711601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	7099142

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