Posts tagged with: "2111"
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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]
11 Sep 2020, 9:45 am
As the article begins: “You might think that the most brokers [are] barred for violating FINRA’s rule against misuse of customer funds (FINRA Rule 2150) or making fraudulent misrepresentations (Rule 2020) or, perhaps, for excessively trading customer accounts in violation of FINRA’s suitability rule (Rule 2111), but that’s not the case. . . . [read post]
12 Mar 2012, 2:00 am
Rule 2111(a) requires FINRA members and their 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. [read post]
9 Mar 2010, 4:14 am
”Clearly acceptance of the resignation is not the "operative" element with respect to effecting a resignation except in those situations where “acceptance” is mandated by statute.As an example of a situation where acceptance of a resignation mandated by statute, Section 2111 of the Education Law provides that an officer of a school district may "resign at a district meeting" or, in the alternative, the officer "shall also be deemed to have… [read post]
7 Aug 2012, 8:44 am
Based on the total number of FINRA arbitration claims filed during these years, churning claims still represent approximately 5% of the total claims filed. (1) FINRA FINRA Rule 2111 (generally modeled after former NASD Rule 2310) codifies a brokerage firms and associated persons’ obligations with respect to churning/excessive trading. [read post]
13 Dec 2020, 7:09 am
., a white GMC truck ran a stop sign at the intersection of Washington Palm Drive and Farm to Market Road 2111. [read post]
29 Nov 2016, 12:05 am
., 3 June 2013. http://www-odi.nhtsa.dot.gov/acms/cs/jaxrs/download/doc/UCM439144/INRM-EA12005-2111.pdf Carty, Sharon, “Chrysler Defies Government Request To Recall Jeeps,” AutoBlog, 4 June 2013. [read post]
5 Apr 2013, 6:07 am
§§ 2101-2111); Forest and Rangeland Renewable Resources Research Act of 1978 (as amended by the Food Agriculture, Conservation, and Trade Act of 1990 (“Farm Bill”), Title XII, Subtitle B) (16 U.S.C. [read post]
18 Nov 2013, 10:23 pm
On hogs, Tester noted that three of the five facilities in the HIMP pilot program were also in the top 10 with the worst health and safety violations from 2008-2111. [read post]
20 Aug 2014, 4:24 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]
6 Oct 2019, 10:19 am
In May 2019 a customer complained that Dobbertin violated the securities laws by alleging that the financial advisor committed violations of FINRA Rules 2110 and 2111, misrepresentation and omissions of material facts, and breach of fiduciary duty. [read post]
24 Feb 2023, 3:00 am
Ct. 2111 (2022). [read post]
14 Nov 2022, 8:00 am
Bruen, 142 S.Ct. 2111 (2022), narrowed the category of firearm-related acts that the government can regulate. [read post]
2 Feb 2021, 7:41 am
Under FINRA Suitability Rule 2111 stockbrokers must have a reasonable basis for recommending a series of transactions in a customer’s account. [read post]
19 Nov 2010, 7:58 am
Robbery. 18 USC 2111. [read post]
10 Jul 2020, 1:05 pm
Allegations Of Excessive, Unauthorized Trading Against Ricardo Turlan FINRA Suitability Rule 2111 requires stockbrokers to have a reasonable basis for transactions in customer’s accounts. [read post]
17 Feb 2021, 12:58 pm
According to the AWC, this conduct violated FINRA Rule 3280 (Private Securities Transactions of an Associated Person), 2111 (Suitability), and 2010 (Standards of Commercial Honor and Principles of Trade). [read post]
18 Nov 2019, 1:34 pm
FINRA Rule 2111 states that a member firm must “have a reasonable basis to believe, based on reasonable diligence, that the recommendation is suitable for at least some investors. [read post]
11 Jul 2012, 7:57 am
Regardless of which side was right or wrong (cough…we were right, they were wrong), Rule 2111 is pretty much an explicit adoption of what we thought was required all along. [read post]
