JORDAN E. SCALES

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/01/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. JORDAN E. SCALES (CRD No. 4419495), Respondent. Disciplinary Proceeding No. C07050019 Hearing Officer-RSH DEFAULT DECISION August 1, 2005 Respondent made unauthorized transactions, in violation of NASD Conduct Rule 2110, and failed to respond to NASD requests for information, in violation of Procedural Rule 8210 and Conduct Rule 2110. For failing to respond to information requests.
Reference C07050019data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/23/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jordan Scales CRD No. 4419495 Respondent. Disciplinary Proceeding No.C07050019 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent Jordan Scales was registered with NASD member L.H. Ross & Company, Inc. ("L.H. Ross") on three separate occasions: (1) from about March 15, 2002, until about April 2, 2003; (2) from about May 19, 2003, until about November 11, 2003; and (3)
Reference C07050019data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4419495

Other names2

Also known as2

JORDAN SCALESJORDAN ELIJAH SCALES

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