Posts tagged with: "2111"
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24 Feb 2023, 3:00 am
Ct. 2111 (2022). [read post]
14 Nov 2022, 8:00 am
Bruen, 142 S.Ct. 2111 (2022), narrowed the category of firearm-related acts that the government can regulate. [read post]
2 Feb 2021, 7:41 am
Under FINRA Suitability Rule 2111 stockbrokers must have a reasonable basis for recommending a series of transactions in a customer’s account. [read post]
19 Nov 2010, 7:58 am
Robbery. 18 USC 2111. [read post]
10 Jul 2020, 1:05 pm
Allegations Of Excessive, Unauthorized Trading Against Ricardo Turlan FINRA Suitability Rule 2111 requires stockbrokers to have a reasonable basis for transactions in customer’s accounts. [read post]
17 Feb 2021, 12:58 pm
According to the AWC, this conduct violated FINRA Rule 3280 (Private Securities Transactions of an Associated Person), 2111 (Suitability), and 2010 (Standards of Commercial Honor and Principles of Trade). [read post]
18 Nov 2019, 1:34 pm
FINRA Rule 2111 states that a member firm must “have a reasonable basis to believe, based on reasonable diligence, that the recommendation is suitable for at least some investors. [read post]
11 Jul 2012, 7:57 am
Regardless of which side was right or wrong (cough…we were right, they were wrong), Rule 2111 is pretty much an explicit adoption of what we thought was required all along. [read post]
30 Nov 2021, 9:15 am
” FINRA issued the following sanctions: Administrative penalty of $10,000 Client restitution of $40,919.00 Eighteen-month suspension from 8/16/2021 through 2/15/2023 for the violation of FINRA Rules 2111 and 2010, for excessive trading and other “aggravating factors” outlined in the petition Six-month suspension for FINRA Rule 2010 for unauthorized trading, to be served consecutively with the previous suspension The default decision was rendered on July 7, 2021. [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]
20 Aug 2014, 7:49 am
Any Peter Pan or Great Value brand peanut butter beginning with product code 2111 was recalled in response to the outbreak investigation. [read post]
21 Jun 2022, 11:48 am
Finra Churning Rule FINRA Rule 2111 requires, in pertinent part, that member firms or their associated persons “have a reasonable basis to believe that a recommended securities transaction or investment strategy involving a security or securities is suitable for the customer, based on information obtained through the reasonable diligence of the firm or associated person to ascertain the customer’s investment profile. [read post]
11 Sep 2020, 9:45 am
As the article begins: “You might think that the most brokers [are] barred for violating FINRA’s rule against misuse of customer funds (FINRA Rule 2150) or making fraudulent misrepresentations (Rule 2020) or, perhaps, for excessively trading customer accounts in violation of FINRA’s suitability rule (Rule 2111), but that’s not the case. . . . [read post]
12 Mar 2012, 2:00 am
Rule 2111(a) requires FINRA members and their associated person to have “a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer’s investment profile. [read post]
9 Mar 2010, 4:14 am
”Clearly acceptance of the resignation is not the "operative" element with respect to effecting a resignation except in those situations where “acceptance” is mandated by statute.As an example of a situation where acceptance of a resignation mandated by statute, Section 2111 of the Education Law provides that an officer of a school district may "resign at a district meeting" or, in the alternative, the officer "shall also be deemed to have… [read post]
7 Aug 2012, 8:44 am
Based on the total number of FINRA arbitration claims filed during these years, churning claims still represent approximately 5% of the total claims filed. (1) FINRA FINRA Rule 2111 (generally modeled after former NASD Rule 2310) codifies a brokerage firms and associated persons’ obligations with respect to churning/excessive trading. [read post]
17 Jun 2008, 4:57 am
The challenger also noted the PTO must give claims their broadest possible meaning (MPEP 2111) and that limitations from the specification must not be read into the claims, citing Superguide, 358 F.3d 870. [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]
9 Sep 2010, 9:54 am
August 2009-July 2010 August 2008-July 2009 DWI Cases Pending at Start of Period 6,687 6,039 New DWI Cases Filed 12,315 11,341 DWI Motions to Revoke Probation Filed 775 656 Other DWI Cases Reaching Docket 10 7 Total DWI Cases on Docket 19,787 18,043 DWI Convictions (Guilty Pleas) 8,187 8,917 DWI Convictions (Bench Trial) 2 1 DWI Convictions (Guilty Plea to Jury) 8 1 DWI Convictions (Not Guilty Plea to Jury) 96 86 Total DWI Convictions 8,293 9,005 DWI Deferred Adjucation* 1 1 … [read post]
17 Feb 2020, 6:48 am
FINRA Rule 2111 states that a member or associated person must have a “reasonable basis” for believing a recommended transaction or strategy is suitable for an investor based on “reasonable due diligence” into the investor’s profile. [read post]
