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JENNIFER JORDAN

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/21/2009: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Jennifer Jordan Portland, Oregon, Respondent. DECISION Complaint No. 2005001919501 Dated: August21, 2009 Respondent failed to disclose in research reports actual, material conflicts of interest and financial interests, which also rendered such reports misleading. Held, findings affirmed, sanctions increased. Appearances For the Complainant: Leo F. Orenstein, Esq.,

    06/18/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JENNIFER JORDAN (CRD No. 2814586), Respondent. Disciplinary Proceeding No. 2005001919501 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION June 18,2008 Respondent violated NASD Conduct Rules 2711(h) and 2110 by failing to disclose material conflicts of interest in research reports that were publicly distributed. In addition, Respondent violated Conduct Rules 2210(d)(1)(A) and 2110 by

    Reference 2005001919501data-portal.finra.orgdata-portal.finra.orgfinra.org

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