DENNIS JORDAN

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/17/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. and Dennis Jordan CRD No. 1420210 Respondents. Disciplinary Proceeding No. E072003092501 Hearing Officer: SNB ORDER ACCEPTING OFFER OF SETTLEMENT FOR DENNIS JORDAN INTRODUCTION Disciplinary Proceeding No. E072003092501 was filed on October 21, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Dennis Jordan submitted an Offer of Settlement ("Offer") to Complainant on May 9, 2006.
Reference E072003092501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/10/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DENNIS JORDAN (CRD No. 1420210), Respondent. Disciplinary Proceeding No. E0720050057-01 Hearing Officer-Andrew H. Perkins DEFAULT DECISION October 10, 2008 Respondent is barred from associating with any FINRA member firm in all principal capacities and fined $40,000 for failing to establish, maintain, and enforce an adequate supervisory system and procedures, in violation of NASD Conduct Rules 2110
Reference E072005005701data-portal.finra.org finra.org

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