Evan Jordan Barred by FINRA for Allegedly Failing to Respond to Requests for Information
Evan Jordan (CRD #: 6823530), a broker formerly registered with J.P.Morgan Securities, has been barred for allegedly failing to respond to FINRA requests for information, according to his BrokerCheck Record, accessed on March 12, 2022.
FINRA Rule 9552 applies in situations where a brokerage firm or representative has failed to provide information or keep information current. FINRA Rule 9552 is a Notice of Suspension if corrective action is not taken. Since Evan Jordan failed to request termination of his suspension within three months of the date of the Notice of Suspension, he was automatically barred on February 15, 2022.
Employment Termination Details
On September 14, 2021, JPMorgan Chase Bank fired Evan Jordan after he allegedly failed to report the opening of a brokerage account at an outside financial institution in his fiancée's name. He allegedly admitted to trading in the outside account.
Outside Business Activities
FINRA Rule 3270 requires that brokers provide written notice to their firms regarding their outside business activities. Firms must approve their broker's participation in an outside activity. A violation of FINRA Rule 3270 also constitutes a violation of FINRA Rule 2010, which requires registered representatives to observe high standards of commercial honor and just and equitable principles of trade.
Evan Jordan has no outside businesses listed on his detailed BrokerCheck record.
Evan Jordan has passed the following exams:
- Series 63 - Uniform Securities Agent State Law Examination
- SIE - Securities Industry Essentials Examination
- Series 6 - Investment Company Products/Variable Contracts Representative Examination
Besides J.P.Morgan Securities, Evan Jordan has also worked with AXA Advisors, (CRD#:6627) and Foresters Financial Services (CRD#:305).
Kurta Law Can Help
If you have been victimized by Evan Jordan as a broker, don't hesitate to get in touch with us today at 877-600-0098 or email@example.com for a free consultation.
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