Posts tagged with: "2111"
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20 Oct 2015, 6:22 am
” FINRA Rule 2111 (Suitability) requires a firm or associated person to “have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer’s investment profile.As one can see, there have been numerous important developments. [read post]
29 Sep 2015, 2:02 pm
According to each registered representative’s Letter of Acceptance, Waiver and Consent (“AWC”), FINRA charged the Global Arena registered representatives with various violations of Section 10(b) of the Securities and Exchange Act of 1934 and FINRA Rules 2010, 2111, 2020, 3110, and 8210, including misleading sales pitches, high pressure sales tactics regarding junk bonds and other securities, customer account churning and unsuitable recommendations. [read post]
14 Aug 2015, 8:38 am
Currently, there is a pending FINRA investigation against Adams for potential violation of FINRA rules 2010 and 2111, and willful violations of Article V, section 2 from 2014. [read post]
11 Aug 2015, 10:30 am
Ct.2111, 2117 & n.3 (2014), will typically not have takenplace at the time of the importation that induces it. [read post]
12 Jul 2015, 5:01 pm
ConAgra was offering to reimburse consumers who returned lids imprinted with the “2111,” but many — an estimated 25,000 — took them to lawyers instead. [read post]
25 Jun 2015, 2:41 pm
” FINRA alleged that E1 Asset Management, Itin, and Shaikah violated NASD Rule 2111 and FINRA Rule 2010 for including impermissible confidentiality provisions in its form settlement and release agreements. [read post]
24 Jun 2015, 4:10 pm
Ct. 2111, 2120 (“Akamai III”).... [read post]
21 May 2015, 11:09 am
” BDFS’s ETF related misconduct was said to have violated NASD Rules 2310 and 3010 along with FINRA Rules 2010 and 2111. [read post]
26 Mar 2015, 3:00 am
Krupp v UNIFOR, Local 229, 2015 CanLII 2111 (ON LRB) [read post]
11 Mar 2015, 9:40 am
., 134 S.Ct. 2111 (2014) (divided infringement) Caraco Pharmaceutical Laboratories, Ltd. v. [read post]
23 Feb 2015, 4:15 am
The firm had a number of missteps regarding a handful of private placements that FINRA discovered during a routine examination, which included the following: The firm approved an offering even though the firm highlighted shortcomings in the offering such as a failure to describe the company’s business; FINRA found the firm providing additional disclosures did not satisfy Rule 2111. [read post]
19 Feb 2015, 12:07 pm
An appropriate suitability analysis under FINRA Rule 2111 would take these factors into account. [read post]
8 Jan 2015, 9:18 pm
Ct. 2111, 2118 (2014) (“As this provision illustrates, when Congress wishes to impose liability for inducing activity that does not itself constitute direct infringement, it knows precisely how to do so. [read post]
8 Jan 2015, 7:35 am
Lofaro put the Claimant’s money into an entirely unsuitable trading strategy in violation of FINRA Rule 2111. [read post]
2 Jan 2015, 6:51 am
. - FINRA Rule 2111 requires that social media communications, if recommending a security, must be considered suitable for the targeted investors; and - Record keeping of all social media communications is required under FINRA Rule 4510. [read post]
2 Dec 2014, 9:03 am
: Alex Roberton, Director, Corporate Affairs & Social Media, (905) 821-2111, ext. [read post]
23 Sep 2014, 10:05 pm
Guest Post by Ted Sichelman, University of San Diego School of LawRecently, I undertook a project at my law school to assess the impact of our faculty’s publications. [read post]
25 Aug 2014, 10:01 pm
Consumers were left to search their pantries for jars of the two peanut butter brands with the product code number beginning with 2111 on the lid. [read post]
20 Aug 2014, 7:49 am
Any Peter Pan or Great Value brand peanut butter beginning with product code 2111 was recalled in response to the outbreak investigation. [read post]
20 Aug 2014, 7:49 am
Any Peter Pan or Great Value brand peanut butter beginning with product code 2111 was recalled in response to the outbreak investigation. [read post]
