Posts tagged with: "2111"
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12 Oct 2021, 5:12 pm
Customs HTSUS Tariff Classification Pharmaceutical Appendix Import - Export Learned Hand Appeal from the United States Court of International Trade in No. 1:13-cv-00296-JCG. [read post]
24 Sep 2021, 10:43 am
The Financial Industry Regulatory Authority (FINRA) addresses suitability in its Rule 2111. [read post]
17 Sep 2021, 8:27 am
The Doylestown, PA financial advisor is accused of violating FINRA Rules 2111, 2010, and 4511. [read post]
3 Sep 2021, 8:03 am
Lianzo excessively traded four customers’ accounts and placed 13 unauthorized transactions in violation of FINRA Rules 2111 and 2010. [read post]
26 Aug 2021, 8:03 am
Fowler churned and excessively traded four customers’ accounts in violation of FINRA Rules 2111 and 2010. [read post]
13 Aug 2021, 2:40 pm
Cangialosi excessively traded three customers’ accounts in violation of FINRA Rules 2111 and 2010. [read post]
13 Aug 2021, 6:27 am
According to FINRA, from January 2014 through December 2018, “Sanctuary did not sufficiently address the unique features and risks related to solicited sales of inverse and leveraged ETFs (collectively, non-traditional ETFs) as required by suitability obligations under FINRA Rule 2111. [read post]
Sanctuary Wealth To Pay $530K Over Alleged Supervisory Failures Involving Exchange-Traded Fund Sales
26 Jul 2021, 7:16 am
According to the self-regulatory organization (SRO), going as far back as 2014 through the end of 2018 the brokerage firm failed to address in a “reasonable” manner the “unique features and risks” involving selling inverse and leveraged ETFs, which Sanctuary was required to do according to FINRA’s Rule 2111 regarding suitability. [read post]
16 Jul 2021, 4:00 am
It appears to be simple enough. 4 NYCRR 5.3[1]provides that except as otherwise provide therein, "every resignation shall be in writing" while §31(2) of the Public Officers Law requires that "[e]very resignation shall be in writing addressed to the officer or body to whom it is made. [read post]
16 Jul 2021, 4:00 am
It appears to be simple enough. 4 NYCRR 5.3[1]provides that except as otherwise provide therein, "every resignation shall be in writing" while §31(2) of the Public Officers Law requires that "[e]very resignation shall be in writing addressed to the officer or body to whom it is made. [read post]
16 Jul 2021, 4:00 am
It appears to be simple enough. 4 NYCRR 5.3[1]provides that except as otherwise provide therein, "every resignation shall be in writing" while §31(2) of the Public Officers Law requires that "[e]very resignation shall be in writing addressed to the officer or body to whom it is made. [read post]
16 Jul 2021, 4:00 am
It appears to be simple enough. 4 NYCRR 5.3[1]provides that except as otherwise provide therein, "every resignation shall be in writing" while §31(2) of the Public Officers Law requires that "[e]very resignation shall be in writing addressed to the officer or body to whom it is made. [read post]
15 Jul 2021, 2:26 pm
The brokerage industry is regulated by the Financial Industry Regulatory Authority (FINRA), which, until recently, has long imposed FINRA Rule 2111, known as the “Suitability Rule” on all licensed stockbrokers and the brokerage firms that employ them. [read post]
12 Jul 2021, 2:48 pm
FINRA says that From October 2015 through December 2018, while registered through Legend and then Worden Capital Management, Orlando allegedly excessively traded 13 accounts of 12 customers in violation of FINRA Rules 2111 and 2010. [read post]
7 Jul 2021, 12:13 pm
On July 1, 2021, Sanctuary Securities, Inc. and the Financial Industry Regulatory Authority (“FINRA”) entered into a Letter of Acceptance, Waiver, and Consent No. 20190606942201 (“AWC”) over allegations that between January 2014 and December 2018, Sanctuary Securities, Inc. failed to establish and maintain a supervisory system reasonably designed to achieve compliance with FINRA Rule 2111 in relation to the solicited sales of inverse and leveraged exchange-traded… [read post]
1 Jul 2021, 3:12 pm
Orlando excessively traded 13 accounts of 12 customers in violation of Rules 2111 and Rule 2010. [read post]
8 Jun 2021, 10:21 am
According to FINRA, during January 2018 through May 2019, Lucchetto excessively and unsuitably traded a customer’s account, in violation of FINRA Rules 2111 and 2010. [read post]
17 May 2021, 12:54 pm
Rand A Technology Corporation, 2021 ONSC 2111, Ontario’s Superior Court of Justice ordered an employer to pay an employee damages for reasonable notice at common law when it decided the employer repudiated its employment agreement upon failing to comply with one of its termination provisions. [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]
6 Apr 2021, 7:57 am
The FINRA regulations violated as alleged by the investor include Rule 2110 which allegedly imposes a high standard of commercial honor and equitable principles of trade; and Rule 2111 which allegedly requires the conduct of adequate due diligence and sanctions negligence, breach of fiduciary duty, misrepresentation and omission of material facts. [read post]
