NOTE: Stipulations of Fact and Consent to Penalty (SFC); Offers of Settlement (OS); and Letters of Acceptance Waiver, and Consent (AWC) are entered into by Respondents without admitting or denying the allegations, but consent is given to the described sanctions & to the entry of findings. Additionally, for AWCs, if FINRA has reason to believe a violation has occurred and the member or associated person does not dispute the violation, FINRA may prepare and request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing before a hearing panel, and any right of appeal to the National Adjudicatory Council, the SEC, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted. The letter shall describe the act or practice engaged in or omitted, the rule, regulation, or statutory provision violated, and the sanction or sanctions to be imposed.

Gifford Keith Jordon
AWC/2010024417101

Jordon 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. 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.

Gifford Keith Jordon: Barred

Tags: Annual Compliance Certification