Posts tagged with: "2111"
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9 Nov 2022, 3:37 am
On 8 November 2022, there was published in the Official Journal of EU the following regulatory technical standards (RTS) and implementing technical standards (ITS) supplementing the EU Crowdfunding Regulation: Commission Delegated Regulation (EU) 2022/2111 of 13 July 2022 supplementing the EU Crowdfunding Regulation with regard to RTS specifying conflicts of interest requirements for crowdfunding service providers. [read post]
26 Oct 2022, 11:29 am
Can I Demand a Jury Trial in a California DUI Case? [read post]
25 Oct 2022, 10:18 am
This diversification should align as well with the investor’s investment objectives and financial circumstances.The Financial Industry Regulatory Authority (FINRA) Rule 2111 establishes brokers’ and investment advisors’ responsibility to handle their customers fairly by honoring the tenets of reasonable-basis suitability, customer-specific suitability, and quantitative suitability. [read post]
12 Oct 2022, 8:55 pm
Ct. 2111, 2126 n.3 (2022), the Supreme Court noted an absence of authority in which the Court has “refrained from holding that a provision of the Bill of Rights is binding on the States on the ground that the right at issue has disputed public safety implications. [read post]
1 Oct 2022, 2:35 pm
Ct. 2111 renders possession of a concealed firearm and criminalizing carrying a loaded firearm on your person or in a vehicle in any public place or on a public street and (California Penal Code sections 25400(a) and 25850(a)) unconstitutional under the Second and Fourteenth Amendments of the U.S. [read post]
23 Sep 2022, 7:47 am
The firm also failed to create adequate Written Supervisory Procedures (WSPS) that complied with FINRA Rule 2111. [read post]
12 Aug 2022, 5:23 am
Ct. 2111 (2022). [read post]
9 Aug 2022, 6:15 am
Lately I have received a number of questions relating to whether it is appropriate to return guns following a temporary firearms disqualification. [read post]
21 Jun 2022, 11:48 am
Finra Churning Rule FINRA Rule 2111 requires, in pertinent part, that member firms or their associated persons “have a reasonable basis to believe that a recommended securities transaction or investment strategy involving a security or securities is suitable for the customer, based on information obtained through the reasonable diligence of the firm or associated person to ascertain the customer’s investment profile. [read post]
26 Apr 2022, 8:22 am
This included Written Supervisory Procedures (WSPs) that would help the firm to comply with FINRA Rule 2111 pertaining to excessive trading. [read post]
8 Mar 2022, 4:44 pm
To speak to him about your circumstance and to obtain a free consultation, please call our offices at 1 (888) 901 2111. [read post]
4 Mar 2022, 11:06 am
Pursuant to FINRA Rule 2111, a brokerage firm cannot offer an investment to a client unless it first has a reasonable basis to believe the investment is suitable for at least some clients. [read post]
14 Feb 2022, 3:01 pm
Any Peter Pan or Great Value brand peanut butter beginning with product code 2111 was recalled in response to the outbreak investigation. [read post]
14 Feb 2022, 1:41 pm
Any Peter Pan or Great Value brand peanut butter beginning with product code 2111 was recalled in response to the outbreak investigation. [read post]
9 Dec 2021, 1:29 pm
According to an investigation by FINRA, which is the primary regulator over brokers and brokerage firms in the United States, while registered with Fusion Analytics, Eric Willer recommended that 13 investors purchase bonds in two private placements offerings without a having a reasonable basis to believe the bonds were suitable for any investor, in violation of FINRA Rule 2111 and 2010. [read post]
30 Nov 2021, 2:05 pm
The letter goes on to state that from 2014 to 2019, Aegis violated FINRA Rules 3110 and 2010, and NASD Rule 3010 by not complying with FINRA Rule 2111 when selling leveraged, inverse, and inverse-leveraged Exchange Traded Funds (ETFs) to customers. [read post]
30 Nov 2021, 9:15 am
” FINRA issued the following sanctions: Administrative penalty of $10,000 Client restitution of $40,919.00 Eighteen-month suspension from 8/16/2021 through 2/15/2023 for the violation of FINRA Rules 2111 and 2010, for excessive trading and other “aggravating factors” outlined in the petition Six-month suspension for FINRA Rule 2010 for unauthorized trading, to be served consecutively with the previous suspension The default decision was rendered on July 7, 2021. [read post]
9 Nov 2021, 5:48 pm
After conducting an investigation, FINRA alleged in the AWC that from July 2014 through December 2018, Aegis Capital 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 as it pertains to excessive trading. [read post]
9 Nov 2021, 9:29 am
Marzocco excessively and unsuitable traded a customer’s account, in violation of FINRA Rules 2111 and 2010. [read post]
8 Nov 2021, 11:18 am
May excessively and unsuitable traded a customer’s account, in violation of FINRA Rules 2111 and 2010. [read post]
