Posts tagged with: "2111"
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13 Sep 2019, 6:42 am
" That means broker-dealers generally must provide "suitable" recommendations under the Financial Industry Regulatory Authority’s Rule 2111. [read post]
9 Sep 2019, 5:00 am
Reg BI’s obligations of care and compliance resemble obligations already set forth in FINRA Rules 2111 and 3110, respectively. [read post]
9 Sep 2019, 5:00 am
Reg BI’s obligations of care and compliance resemble obligations already set forth in FINRA Rules 2111 and 3110, respectively. [read post]
26 Jul 2019, 12:30 pm
These duties and obligations are encoded in FINRA Rule 2111 Suitability Rule and at least a half-dozen Regulatory Notices, including RN-10-22 which is an opus on brokerage firm due diligence responsibilities to perform due diligence on private placements prior to offering them to firm clients, NASD NTM 03-71 which speaks to a firm’s obligations to vet non-conventional investments, and NTM 05-26 which discusses the vetting of new products. [read post]
27 Jun 2019, 10:00 am
Under FINRA rule 2111, brokers must have a “reasonable” belief that a potential investment product or strategy is “suitable” for the investor based on the customer’s age, objectives, risk tolerance, and other information. [read post]
22 May 2019, 9:04 am
Suitability for Retail Customers FINRA rule 2111 ensures that firms and people associated with firms deal with customers fairly. [read post]
13 May 2019, 10:44 am
§ 2111, under the elements clause. [read post]
6 May 2019, 6:33 am
FINRA Rule 2111 requires that all recommendations to purchase securities made to clients must be suitable. [read post]
12 Apr 2019, 9:46 am
The claim alleges misrepresentations and omissions of material facts in violation of the Securities Act of Washington, consumer fraud in violation of the Washington Consumer Protection Act, negligence for violating numerous regulatory rules including FINRA Rules 2111 (suitability) and 3110 (supervision), and breach of fiduciary duty. [read post]
4 Mar 2019, 1:45 pm
According to FINRA Regulatory Notice 10-22 and FINRA Rule 2111, these labels do not obviate the brokerage firm’s obligation to only recommend investments that 1) have been vetted by the firm prior to offering it and that 2) are suitable in light of the client’s investment objectives and risk tolerance. [read post]
15 Jan 2019, 7:19 am
., Client alleges unsuitably, misrepresentation, omissions, breach of fiduciary duty, violations of NASD Conducts Rule 301(A), Conduct Rule 2010, FINRA Conduct Rule 2010, FINRA Rule 2111, Negligence, and breach of contract and vicarious liability. [read post]
7 Jan 2019, 8:10 am
John Scott Simoncic (CRD #1062932, Carlsbad, California) Without admitting or denying the findings, Simoncic consented to the sanction and to the entry of findings that he willfully violated Section 10(b) of the Securities Exchange Act of 1934, and Rule 10b-5 promulgated thereunder, and violated FINRA Rules 2020, 2111 and 2010 by churning customer accounts, engaging in excessive trading and making unsuitable recommendations involving transactions in non-traditional exchange traded funds… [read post]
29 Nov 2018, 9:00 pm
Consumers who purchased the ELM products and who have questions or would like a refund should call ELM Pet Foods at 800-705-2111 or email customerservice@elmpetfoods.com. [read post]
27 Nov 2018, 9:00 pm
For additional information, consumers may contact Sunshine Mills Inc. customer service at 800-705-2111, or by email at customer.service@sunshinemills.com for additional information. [read post]
23 Nov 2018, 9:01 pm
Consumers with questions about the recalls should contact Sunshine Mills, Inc. customer service at (800) 705-2111 from 7AM to 4PM Central Time, Monday through Friday, or by email at customer.service@sunshinemills.com [read post]
6 Nov 2018, 8:33 am
By that conduct, Colflesh allegedly violated FINRA Rule 2111 and consequently FINRA Rule 2010. [read post]
6 Nov 2018, 8:33 am
By that conduct, Colflesh allegedly violated FINRA Rule 2111 and consequently FINRA Rule 2010. [read post]
5 Sep 2018, 4:51 pm
I have recently been writing about copyright litigation directed at BitTorrent users in Canada which I have been doing since my posting almost exactly seven years ago on September 7, 2011 on Voltage Pictures attempt at that time to launch mass lawsuits against individuals in its Hurt Locker litigation. [read post]
5 Jul 2018, 9:41 am
Excessive trading is a violation of FINRA’s suitability rule 2111 under two standards; the broker must have control over the customer’s account and the level of activity that the broker facilitates in the account must be inconsistent with the customer’s investment objectives and needs. [read post]
2 Jul 2018, 11:30 am
Kim allegedly made unsuitable investment recommendations to senior customers in violation of NASD Rules 2310 and 2110, as well as FINRA Rules 2111 and 2010. [read post]
