Posts tagged with: "2111"
Results 241 - 260
of 397
Sorted by Relevance
|
Sort by Date
4 Apr 2014, 6:26 am
., he violated FINRA Rule 2111. [read post]
14 Apr 2014, 6:58 am
The greatest concern is that the bonds are being sold to individual investors in violation of securities regulations and FINRA Rules, including FINRA Rule 2111, which requires that a trade be suitable for particular investors. [read post]
22 Jan 2021, 1:07 pm
Under FINRA Suitability Rule 2111 stockbrokers must have a reasonable basis for recommending a series of transactions in a customer’s account. [read post]
29 Jun 2017, 1:23 pm
According to FINRA Rule 2111, excessive trading may be evident if trading occurred that was not consistent with the client’s financial goals, risk tolerance, and knowledge of investment strategies. [read post]
1 Feb 2021, 2:02 pm
Unsuitable Investment Recommendations Brokers and broker-dealers are regulated by federal securities laws and FINRA rules and standards and are required to make suitable investment recommendations pursuant to FINRA Rule 2111 “Suitability” and FINRA Rule 2090 “Know Your Customer. [read post]
15 May 2023, 8:09 am
Bruen, 142 S.Ct. 2111 (2022). [read post]
2 Dec 2014, 9:03 am
: Alex Roberton, Director, Corporate Affairs & Social Media, (905) 821-2111, ext. [read post]
27 May 2020, 7:32 am
FINRA Rule 2111 requires a FINRA member or associated person to know their investor’s profile and have a reasonable basis to believe a transaction they are recommending is suitable to them. [read post]
22 Jan 2021, 12:13 pm
Unsuitable Investment Recommendations Brokers and broker-dealers are required to only make suitable investment recommendations to their customers, pursuant to FINRA Rule 2111 and FINRA Rule 2090. [read post]
12 Aug 2022, 5:23 am
Ct. 2111 (2022). [read post]
2 Feb 2021, 8:16 am
Brokers are required to make suitable investment recommendations pursuant to FINRA Rule 2111 “Suitability” and FINRA Rule 2090 “Know Your Customer. [read post]
29 Nov 2022, 7:59 am
According to a Letter of Acceptance Waiver and Consent signed on November 25, 2022, FFEC allegedly failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with the suitability requirements of FINRA Rule 2111 in connection with margin use. [read post]
4 Mar 2014, 8:14 am
According to FINRA Rule 2111, churning may be evident if trading occurred that was not consistent with the client’s financial goals, risk tolerance, and knowledge of investment strategies. [read post]
6 May 2021, 9:02 am
According to the FINRA action, he violated FINRA Rule 2111 (suitability), in connection with the recommendation to 78 investors to purchase variable annuities, that were inconsistent with the customers’ investment profiles, risk tolerance, liquidity needs, and time horizon. [read post]
21 Mar 2007, 8:55 am
The Food and Drug Administration is telling anyone who has a jar of Great Value (product code 2111) or Peter Pan peanut butter that has been purchased anytime since October 2004 to throw the peanut butter out. [read post]
24 Jul 2023, 4:30 am
Ct. 2111 (2022), the Supreme Court held, respectively, that abortion is not a constitutional right, and that states cannot ask gun owners to show a need for their weapons to obtain a concealed carry license. [read post]
25 Apr 2024, 12:52 am
National Union of Public Service and Allied Workers (“NUPSAW”) obo Lutendo and Others v Commission for Conciliation, Mediation and Arbitration and Others (J 2086/20; JR 2111/20) [2024] ZALCJHB 1; [2024] 3 BLLR 333 (LC); (2024) 45 ILJ 579 (LC) (5 January 2024) (saflii.org). [read post]
25 Apr 2024, 12:52 am
National Union of Public Service and Allied Workers (“NUPSAW”) obo Lutendo and Others v Commission for Conciliation, Mediation and Arbitration and Others (J 2086/20; JR 2111/20) [2024] ZALCJHB 1; [2024] 3 BLLR 333 (LC); (2024) 45 ILJ 579 (LC) (5 January 2024) (saflii.org). [read post]
15 May 2024, 1:32 pm
Excessive Trading and Lack of Supervision – Arive Capital Markets From August 2016 to June 2020, Arive Capital Markets allegedly neglected to establish, maintain, and enforce a supervisory system to ensure compliance with suitability requirements outlined in FINRA Rule 2111. [read post]
3 Apr 2013, 12:47 pm
For excessive trading cases, FINRA Rule 2111 also has a quantitative suitability standard that applies. [read post]
