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WILLIAM NORRIS JORDAN JR

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

    07/13/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, V. William Norris Jordan Jr (CRD No. 1385105), Respondent. DISCIPLINARY PROCEEDING No. 20120317482-03 COMPLAINT The Department of Market Regulation (''Market Regulation") alleges: SUMMARY 1. From November 2009 through August 2011, Respondent William Norris Jordan Jr ("Jordan" or "Respondent"), an associated person of FINRA member broker-dealer Kildare Capital, Inc. ("Kildare" or "KCAP"),

    09/26/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant v. WILLIAM NORRIS JORDAN, JR. (CRD No. 1385105), Respondent Disciplinary Proceeding No. 20120317482-03

    10/24/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. WILLIAM NORRIS JORDAN, JR. (CRD No. 1385105), Respondent Disciplinary Proceeding No. 20120317482-03 Hearing Officer-RES POST-DECISION ORDER REVISING SUPENSION START DATE FOR RESPONDENT On September 26, 2017, the Office of Hearing Officers

    Reference 2012031748203data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org

Other names1

Also known as1

William Norris Jordan Jr.

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