FINRA Sanctions Jordan John

Soreide Law Group is investigating possible investor claims against Jordan Palmer John (CRD: 6924720, Omaha, Nebraska). Notably, FINRA sanctioned the securities broker, who worked for TD Ameritrade Inc. Allegedly, John failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of FINRA’s allegations against John.

Jordan John Sanctioned By FINRA For Failure To Provide Information

Notably, FINRA issued Decision No. 2021071672302 on January 17, 2023 sanctioning Jordan John for infractions. Allegedly, John failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules.

Notably, the regulator was looking into why he was terminated from his finance company. The company stated in an official document, Form U5, that they let John go because he didn't follow their rules for proper business behavior and ethics. Supposedly, this was related to how he was handling his own brokerage account with the company. Evidently, the company also mentioned in the Form U5 that they had looked into his trading activities. Therefore, FINRA needed the requested information from John to decide if he had done anything wrong, like trading with unsecured money and not following fair trade practices.

How The Case Ended

FINRA’s decision was to permanently ban John from all types of registrations with FINRA member firms, effective January 17, 2023.

Employment Information

John worked for TD Ameritrade Inc. as a securities broker from November 2020 to June 2021.

Did TD Ameritrade Inc. Securities Broker Jordan John Cause You To Experience Damages?

Did you suffer damages because of broker Jordan John? If so, reach out to Soreide Law Group at (888) 760-6552 and speak with a skilled securities attorney regarding a potential recovery of your investment losses. Soreide Law Group, who has effectively recovered money for hundreds of investors across the United States, represents clients on a contingency fee basis and advances all costs. John and brokerage firms John worked for deny all accusations of sales-related misconduct.