Tag Archives: William Norris Jordan Jr.

Kildare Capital Stockbroker Fined In Fraudulent Scheme

August 31, 2017  |   Posted by :   |   Investment and Regulatory News, Municipal Bond Fraud   |   0 Comments

William Norris Jordan, Jr., of Philadelphia, Pennsylvania, a stockbroker formerly registered with Kildare Capital, Inc., was subject of a $7,000.00 fine and one-year suspension from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a Hearing Panel Decision containing findings that Jordan created a fraudulent trading scheme and made material […]

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Kildare Capital Stockbroker Charged With Fraud

William Norris Jordan Jr., of Philadelphia, Pennsylvania, a stockbroker with Kildare Capital, Inc., was named in a Complaint by Financial Industry Regulatory Authority (FINRA) Department of Enforcement alleging that Jordan partook in a deceptive and fraudulent scheme concerning round trips of municipal securities, charged customers excessive prices, and provided false information to his firm as […]

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