HAROLD WILLIAM GORDEN is currently employed as a Broker and/or Investment Adviser at SPENCER EDWARDS, INC. located at 6851 S HOLLY CIRCLE SUITE 200, SUITE 200, CENTENNIAL, CO, 80112.
HAROLD WILLIAM GORDEN has worked at SPENCER EDWARDS, INC. since March 14, 2005
HAROLD WILLIAM GORDEN has 5 Disclosure Event(s).
Date: May 17, 1989 Category: Regulatory Initiated By: FLORIDA DIVISION OF SECURITIES AND INVESTORPROTECT*See FAQ #1* Allegations: Not Provided Resolution: Consent SanctionDetails: Sanctions: Cease and Desist/Injunction Sanction Details: ON MARCH 9, 1992, FLORIDA ENTERED INTO ASTIPULATION AND CONSENT AGREEMENT AND FINAL ORDER WITHRESPONDENT HAROLD WILLIAM GORDEN. RESPONDENT GORDEN AGREES TO:THE ENTRY OF A FINAL ORDER IN THIS MATTER, TO CEASE AND DESISTFROM ALL FUTURE VIOLATIONS OF CHAPTER 517, FLORIDA STATUTES, TONOT APPLY FOR REGISTRATION IN FLORIDA FOR TWO YEARS FROM THEDOCKET DATE OF THE ORDER AND SHOULD RESPONDENT GORDEN CHOOSE TOAPPLY FOR REGISTRATION IN FLORIDA AFTER THE TWO YEARNON-REGISTRATION PEIROD, SUCH REGISTRATION SHALL BE SUBJECT TORESTRICTION OF ACTIVITIES FOR A TWO YEAR PERIOD. Broker Comment: Not Provided
Date: September 03, 1986 Category: Regulatory
Date: January 01, 1985 Category: Regulatory
Date: August 06, 1981 Category: Regulatory Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Resolution: Decision & Order of Offer of Settlement SanctionDetails: Sanctions: Censure Broker Comment: Not Provided
Date: July 13, 1979 Category: Regulatory
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