Jordan Whitacre Suspended for Allegedly Failing to Respond to FINRA Requests
Jordan Whitacre (CRD #: 5828900), a broker formerly registered with Arkadios Capital, was recently suspended for allegedly failing to respond to FINRA requests for information, according to his BrokerCheck Record, accessed on January 5, 2021.
On October 29, 2021, FINRA alleged that Jordan Whitacre failed to respond to FINRA requests for information. His alleged conduct is a violation of FINRA Rule 8210.
FINRA Rule 8210 requires members to provide information under oath if requested, regarding any matter that pertains to an investigation, complaint, examination, or proceeding.
A violation of FINRA Rule 8210 is also a violation of FINRA Rule 2010, which requires member firms and their associated persons to “observe high standards of commercial honor and just and equitable principles of trade.”
Pursuant to FINRA Rule 9552 and in accordance with FINRA’s Notice of Suspension letter dated October 29, 2021, Jordan Whitacre was suspended on November 22, 2021, from associating with any FINRA member firm in all capacities.
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. This means if Jordan Whitacre fails to request termination of the suspension within three months, he will automatically be barred on December 10, 2021, from association with any FINRA member in all capacities pursuant to FINRA Rule 9552(h).
On July 16, 2021, Jordan Whitacre was fired from his position at Wealth Management Advisors and Arkadios Capital following allegations that he misdirected client funds for personal use.
Jordan Whitacre has passed the following exams:
- Series 65 – Uniform Investment Adviser Law Examination
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
- Series 6 – Investment Company Products/Variable Contracts Representative Examination
He has also worked with the following firms:
- Triad Advisors (CRD#:25803)
- The Investment Center (CRD#:17839)
Kurta Law Can Help
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