Posts tagged with: "2111"
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12 Jul 2015, 5:01 pm
ConAgra was offering to reimburse consumers who returned lids imprinted with the “2111,” but many — an estimated 25,000 — took them to lawyers instead. [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]
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]
30 Jun 2010, 3:15 am
Yet, by following the explicit requirement of the BRI of MPEP 2111 original prosecution history need not be considered. [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]
25 Jul 2023, 10:40 am
FINRA Rules on Suitability The suitability rule is commonly referred to as FINRA Rule 2111, or simply the Suitability Rule. [read post]
23 Oct 2013, 8:03 am
Here is the firm’s actual suitability requirement – pursuant to FINRA Rule 2111: 2111. [read post]
27 Mar 2023, 11:17 am
FINRA 2090 and FINRA Rule 2111 Suitability FINRA Rule 2090 Know your Customer and the FINRA Rule 2111 Suitability are both regulatory requirements designed to protect investors. [read post]
11 May 2010, 1:42 am
" §2111 states that a school district officer "may resign to a district meeting. [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]
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 Jun 2011, 4:16 pm
Two bills proposing the legalization of VLTs--SB 1118 and HB 2111--were introduced this legislative session. [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]
6 Nov 2018, 8:33 am
By that conduct, Colflesh allegedly violated FINRA Rule 2111 and consequently FINRA Rule 2010. [read post]
17 Jun 2010, 7:47 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]
2 Feb 2016, 2:59 pm
FINRA further alleged that as a result these actions, Jeffrey Davidson violated NASD Conduct Rule 2310, and FINRA Rules 2010 and 2111. [read post]
14 Apr 2014, 2:45 pm
Still, the 2014 California Jury Instructions uses only the (a) and (b) sections as they were used before, (see CALCRIM No. 2110 and 2111). [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]
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]
10 Dec 2009, 1:10 pm
., No. 08-2111-cv (2nd Cir. 2009). [read post]
