Dennis Jordan (CRD # 1420210, Registered Principal, Chipley, Florida) was fined $60,000 and barred from association with any FINRA member firm in any principal capacity. The fine is due and payable if and when Jordan reassociates with a memberfirm in any capacity.The sanctions were based on findings that Jordan failed to establish, maintain and enforce an adequate supervisory system and written supervisory procedures with respect to the business conducted in a branch office; failed to establish, maintain and enforce written supervisory procedures reasonably designed to achieve compliance with the record keeping requirements of SEC Rule 17a-4 as it pertains to preserving electronic communications; failed to develop and implement adequate AML procedures to achieve and monitor its obligations under the Bank Secrecy Act and related U.S. Treasury regulations; and failed to report customer complaints to FINRA.