Posts tagged with: "2111"
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8 May 2024, 7:20 pm
These violations include Rule 3110(a) which requires firms to establish and maintain systems for supervision and Rule 2111 which mandates suitable recommendations for customers based on their investment profiles. [read post]
25 Apr 2024, 12:52 am
National Union of Public Service and Allied Workers (“NUPSAW”) obo Lutendo and Others v Commission for Conciliation, Mediation and Arbitration and Others (J 2086/20; JR 2111/20) [2024] ZALCJHB 1; [2024] 3 BLLR 333 (LC); (2024) 45 ILJ 579 (LC) (5 January 2024) (saflii.org). [read post]
25 Apr 2024, 12:52 am
National Union of Public Service and Allied Workers (“NUPSAW”) obo Lutendo and Others v Commission for Conciliation, Mediation and Arbitration and Others (J 2086/20; JR 2111/20) [2024] ZALCJHB 1; [2024] 3 BLLR 333 (LC); (2024) 45 ILJ 579 (LC) (5 January 2024) (saflii.org). [read post]
13 Feb 2024, 11:53 am
Ct. 2111 (2022), was decided the week before sentencing. [read post]
18 Jan 2024, 1:30 pm
Lastly, Cabot Lodge violated FINRA Rules 2111(a) and 2010 by recommending, in January 2016, that an elderly customer invest in the REIT without having a reasonable basis to believe that the recommendation was suitable based on the customer’s investment profile. [read post]
9 Jan 2024, 12:05 pm
Ct. 2111 (2022). [read post]
5 Jan 2024, 12:16 pm
Suitability Rules FINRA Rule 2330 and FINRA Rule 2111 FINRA’s suitability rule, Rule 2111, also applies to the sale of variable annuities, just as it does to other investment products. [read post]
19 Dec 2023, 12:20 pm
This post summarizes published criminal law and related cases released by the Fourth Circuit Court of Appeals during November 2023. [read post]
1 Dec 2023, 1:16 am
FINRA Rule 2111, known as the Suitability Rule, outlines the requirements that brokers and broker-dealers must follow when making investment recommendations to customers. [read post]
10 Nov 2023, 11:49 am
—, 142 S.Ct. 2111 (June 23, 2022). [read post]
8 Nov 2023, 10:14 pm
FINRA Rule 2111: Suitability FINRA Rule 2111 is a regulation established by the Financial Industry Regulatory Authority (FINRA), which governs the suitability of recommendations made by broker-dealers to their clients. [read post]
7 Nov 2023, 7:56 am
This rule categorizes broker activity as fraudulent if they take advantage of their discretionary power in a client’s account FINRA (Financial Industry Regulatory Authority) Rule 2111. [read post]
2 Nov 2023, 11:58 am
Suitability Rules – FINRA Rule 2111 If your broker has made unsuitable investment recommendations, and you have suffered losses, you may be able to file a claim with FINRA to seek resolution through arbitration. [read post]
1 Nov 2023, 4:13 pm
Bartole, cause no. 79D01-2111-F3-000033 (filed Nov. 17, 2021), available at https://public.courts.in.gov/mycase (last visited Oct. 30, 2023). [read post]
27 Oct 2023, 10:41 am
Rule 2111 (Suitability) and Rule 2020. [read post]
16 Oct 2023, 11:25 am
Ct. 2111 (2022), where the Court […] The post CHRIS BOURDEAU v. [read post]
28 Sep 2023, 12:22 pm
FINRA’s suitability rule, known as Rule 2111 (Suitability) requires that broker-dealers and their representatives have a reasonable basis to believe that a recommended transaction or investment strategy is suitable for a particular customer based on that customer’s individual financial situation, investment objectives, risk tolerance, and other relevant factors. [read post]
23 Sep 2023, 4:07 am
Bruen, 142 S.Ct. 2111 (2022), the Supreme Court held that [W]hen the Second Amendment’s plain text covers an individual’s conduct, the Constitution presumptively protects that conduct. [read post]
13 Sep 2023, 6:06 am
FINRA Rule 2111 requires that broker-dealers must have a reasonable basis to believe the number of recommended transactions within a certain period is not excessive (i.e., that the investor’s account is not being churned). [read post]
18 Aug 2023, 7:20 am
Overview and Risks of Options Trading Have you lost your investment portfolio in trading options? [read post]
