DENNIS TODD LLOYD GORDON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/12/2007: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Sterling Scott Lee Austin, Texas, Dennis Todd Lloyd Gordon Rosenberg, Texas, Respondents. DECISION Complaint No. C06040027 Dated: February 12, 2007 Registered principals and senior officers of member firm permitted unregistered individual to function as a principal of the firm, failed to maintain the accuracy of the firm's membership application, charged retail customers
04/11/2008: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 57655 / April 11, 2008 Admin. Proc. File No. 3-12573 In the Matter of the Application of DENNIS TODD LL0YP GORDON AND STERLING SCOTT LEE c/o Joel A. Gordon Joel A. Gordon & Associates 6666 Harwin Drive, Suite 220 Houston, Texas 77036 For Review of Disciplinary Action Taken by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIAITON --REVIEW OF DISCIPLINARY PROCEEDINGS
Reference C06040027data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1614614

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.