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.” 

Sanctions 

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). 

Employment Termination 

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. 

Background Information 

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  

If you have been victimized by Jordan Whitacre as a broker, don’t hesitate to get in touch with us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.  

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.