Posts tagged with: "2111"
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24 Apr 2017, 8:51 am
In March 2014, FINRA found that Brown violated FINRA rules 2090 and 2111 that require the use of reasonable diligence when recommending investment strategies. [read post]
17 Apr 2017, 11:11 am
FINRA Rule 2111 codifies a brokerage firms and associated persons’ obligations with respect to churning/excessive trading. [read post]
6 Mar 2017, 4:34 pm
§ 2111. [read post]
14 Feb 2017, 2:34 pm
Maczko violated NASD Rule 2310 and Rule 2111, both pertaining to suitability of investment recommendations, because from 2009 to 2016, Mr. [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]
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 Jan 2017, 12:42 pm
Ct. 2111 (2014).1 At the time, theAkamai II decision was the subject of a petition to theSupreme Court for a writ of certiorari. [read post]
21 Dec 2016, 7:00 am
In other words, the approval or acceptance of the resignation is not required for the resignation to take effect unless specific acceptance of a resignation is required by law, rule, regulation or the terms of a collective bargaining agreement (see Hazelton v Connelly, 25 NYS2d 74).As an example of a situation where acceptance of a resignation mandated by statute, §2111 of the Education Law provides that an officer of a school district may "resign at a district… [read post]
29 Nov 2016, 12:05 am
., 3 June 2013. http://www-odi.nhtsa.dot.gov/acms/cs/jaxrs/download/doc/UCM439144/INRM-EA12005-2111.pdf Carty, Sharon, “Chrysler Defies Government Request To Recall Jeeps,” AutoBlog, 4 June 2013. [read post]
29 Nov 2016, 12:05 am
., 3 June 2013. http://www-odi.nhtsa.dot.gov/acms/cs/jaxrs/download/doc/UCM439144/INRM-EA12005-2111.pdf Carty, Sharon, “Chrysler Defies Government Request To Recall Jeeps,” AutoBlog, 4 June 2013. [read post]
10 Nov 2016, 7:12 am
Ct. 2111 (2014)] decision would have little meaning. [read post]
4 Oct 2016, 1:18 pm
At the very least, FINRA Rule 2111 requires that broker-dealers ensure that recommendations of products are suitable for each customer, which requires a careful assessment of each customer’s respective investment objectives, risk tolerance, age, tax bracket, other investments, liquidity needs, as well as other factors. [read post]
15 Aug 2016, 10:01 pm
And then, if it was Peter Pan or Great Value, check the list for that 2111 product code found on the lid. [read post]
30 Jun 2016, 1:53 pm
Martin violated FINRA Rules 2310 and 2111 related to suitability of recommendations by “not having a reasonable basis to recommend, for long-term holding, non-traditional exchange traded funds (‘Non-traditional ETFs’). [read post]
19 Apr 2016, 10:42 am
As a result of his conduct, Mirhashemi willfully violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, and FINRA Rules 2020, 2111 and 2010. [read post]
23 Mar 2016, 2:35 pm
Rev. 2111 (2007) 14 130 Beebe, Barton Empirical Study of the Multifactor Tests for Trademark Infringement, An [article] 94 Cal. [read post]
28 Feb 2016, 4:00 am
., 2002-11-21), 2002 CSC 73, SOQUIJ AZ-50152150, J.E. 2002-2111, [2002] 3 R.C.S. 757 distingue les pouvoirs de vérification et les pouvoirs d’enquête. [read post]
17 Feb 2016, 11:37 am
Death Penalty Sought in Modesto Slayings: The Stanislaus County District Attorney's Office announced Tuesday that it will seek the death penalty against a California man accused of killing five people in Modesto last summer. [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]
21 Oct 2015, 1:14 pm
FINRA Rule 2111 requires firm representatives to have a reasonable basis to believe that a recommended transaction or investment strategy is suitable for the customer based on the information obtained through reasonable diligence to ascertain the customer’s investment profile. [read post]
