South Florida Arbitration & Litigation Lawyer Blog
April 2011 FINRA Account Executive Enforcement Action:
Gifford Keith Jordon (CRD #2620616, Registered Representative, Springdale, Arkansas, formerly licensed with St. Bernard Financial Services, Inc.) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Jordon consented to the described sanction and to the entry of findings that he participated in private securities transactions for which he received approximately $48,585 in commissions and failed to provide prior written notice to his member firm. The findings stated that Jordon concealed his participation because he did not believe his firm would approve the activity and completed the firm’s compliance questionnaires without disclosing the private securities transactions. (FINRA Case #2010024417101)
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