Posts tagged with: "2111"
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21 Mar 2012, 7:16 am
Finally, with the adoption of Rule 2111, firms should also focus more on suitability, because FINRA will certainly look to determine if firms are complying with the new rule. [read post]
9 Jul 2012, 7:23 am
The rule was written by the Financial Industry Regulatory (FINRA), and is called the Know-Your-Customer Rule, or FINRA Rule 2090; a companion piece to the rule is FINRA Rule 2111. [read post]
9 Mar 2018, 12:21 pm
Kaplan] engaged in churning and unsuitable excessive trading in the brokerage account of a senior investor” and thus “[v]iolated FINRA Rules 2020, and 2111, NASD Rule 2310… and FINRA Rule 2010. [read post]
20 Jan 2017, 7:38 am
Meehan violated FINRA Rule 2111 (Suitability) and FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) because from January 2014 through June 2015, he exercised discretion without the customers’ written authorization to do so, and engaged in unsuitable trading in several customers’ accounts “resulting in annualized turnover rates of 12, 21, and 32, respectively, and annualized cost-to-equity ratios of 54%, 110%, and 179%, respectively. [read post]
13 Aug 2021, 2:40 pm
Cangialosi excessively traded three customers’ accounts in violation of FINRA Rules 2111 and 2010. [read post]
17 Mar 2011, 8:55 am
March 2111:10am Career Focus Cost Effective Research12:10pm Career Focus Cost Effective ResearchMonday, March 2812:10pm Career Focus Cost Effective Research Wednesday, March 3011:10am Career Focus Cost Effective Research12:10pm Career Focus Cost Effective ResearchTuesday, April 511:10am Career Focus Cost Effective Research12:10pm Career Focus Cost Effective ResearchWednesday, April 1311:10am Career Focus Cost Effective Research12:10pm … [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]
20 Nov 2022, 2:09 pm
This due diligence process is required to be undertaken and is mandated by FINRA Rule 2111, Regulation Best Interest, and several FINRA notices, including most prominently, Regulatory Notice 10-22. [read post]
22 Dec 2008, 9:54 pm
Best New Law-related Blog - Jordan Furlong's Law 2111. [read post]
20 Jan 2017, 7:38 am
Meehan violated FINRA Rule 2111 (Suitability) and FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) because from January 2014 through June 2015, he exercised discretion without the customers’ written authorization to do so, and engaged in unsuitable trading in several customers’ accounts “resulting in annualized turnover rates of 12, 21, and 32, respectively, and annualized cost-to-equity ratios of 54%, 110%, and 179%, respectively. [read post]
12 Jun 2012, 10:15 pm
In regards to suitability, FINRA Rule 2111 will replace NASD Rule 2310 on July 9, 2012. [read post]
23 Feb 2007, 8:58 am
Only Peter Pan and Great Value brand peanut butter with product code 2111 on the lid is affected by the salmonella. [read post]
12 Nov 2019, 12:25 am
The Foster the Family collection box is in the reception area of the Northfield office of Petro Cohen Petro Matarazzo in the Executive Plaza, 2111 New Road, Suite 202, Northfield, NJ 08225. [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]
7 May 2020, 9:51 am
Further, Woods purportedly violated FINRA Rules 2111 and 2010 because allegedly “he did not have a reasonable basis for recommending that the customers purchase the REITs, which were inconsistent with the customers’ investment profiles. [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]
16 Dec 2009, 11:26 am
(Case No. 08-2111-cv). [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]
21 Oct 2019, 8:13 am
However, while, like FINRA Rule 2111, there is a reasonable basis requirement, a customer specific requirement, and a quantitative (number of transactions) requirement, Reg BI requires much more than FINRA Rule 2111. [read post]
21 Oct 2019, 8:13 am
However, while, like FINRA Rule 2111, there is a reasonable basis requirement, a customer specific requirement, and a quantitative (number of transactions) requirement, Reg BI requires much more than FINRA Rule 2111. [read post]
