JORDAN P ZARO

03/12/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jordan P. Zaro CRD No. 854313 Respondent. DISCIPLINARY PROCEEDING No. 20070098511 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Jordan P. Zaro created false account statements for customer CJF, a widow in her mid-60s, listing securities that the customer did not own. The non-existent securities were valued by Zaro on the statements at more than $750,000. This gave the

05/12/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jordan P. Zaro, CRD No. 854313, Respondent. Disciplinary Proceeding No. 20070098511 Hearing Officer SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 12, 2010 INTRODUCTION Disciplinary Proceeding No. 20070098511 was filed on March 12, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant or Department). Respondent Jordan P. Zaro submitted an Offer

Reference 2007009851101data-portal.finra.orgdata-portal.finra.orgfinra.org