JORDAN R. STEEL

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/27/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110296194-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jordan R. Steel, Respondent Canada-Limited General Securities Registered Representative CRD No. 5406205 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jordan R. Steel submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2011029619401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5406205

Other names1

Also known as1

JORDAN ROCCO STEEL

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