Posts tagged with: "2111"
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9 Feb 2011, 6:34 am
., 534 F.Supp.2d 1204, 2111 (D.Kan. 2008);Patrick Patterson Custom Homes, Inc. v. [read post]
21 Jan 2009, 4:04 am
"Accordingly, it would seem appropriate for an appointing authority to merely "acknowledge" rather than "accept" or "approve" a resignation except where acceptance or approval of the resignation by some entity is authorized or required by law.For example, 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 resigned… [read post]
13 Mar 2018, 9:01 pm
FINRA Rule 2111 has long imposed on brokers a duty to offer only “suitable” securities. [read post]
6 Jan 2014, 6:00 am
Today we continue with our recent New Years theme. [read post]
6 Mar 2017, 4:34 pm
§ 2111. [read post]
6 Apr 2021, 7:57 am
The FINRA regulations violated as alleged by the investor include Rule 2110 which allegedly imposes a high standard of commercial honor and equitable principles of trade; and Rule 2111 which allegedly requires the conduct of adequate due diligence and sanctions negligence, breach of fiduciary duty, misrepresentation and omission of material facts. [read post]
25 Apr 2018, 4:45 pm
§2111. [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]
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]
6 Apr 2021, 7:57 am
The FINRA regulations violated as alleged by the investor include Rule 2110 which allegedly imposes a high standard of commercial honor and equitable principles of trade; and Rule 2111 which allegedly requires the conduct of adequate due diligence and sanctions negligence, breach of fiduciary duty, misrepresentation and omission of material facts. [read post]
22 Mar 2020, 4:00 am
., 2002-11-21), 2002 CSC 73, SOQUIJ AZ-50152150, J.E. 2002-2111, [2002] 3 R.C.S. 757. [read post]
14 Apr 2023, 11:27 am
FINRA Rule 2111(a) establishes the “suitability” standard, which requires brokers to recommend only those investments that are suitable for a particular client based on their investment objectives, risk tolerance, financial situation, and other factors. [read post]
11 Feb 2021, 11:35 am
The Financial Industry Regulatory Authority (“FINRA”) had a rule on the subject: Rule 2111, which required that a firm or broker have a reasonable basis to believe that a recommended transaction or strategy involving securities was suitable for the customer, based on information obtained through the firm or broker’s reasonable diligence to determine the customer’s investment profile. [read post]
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]
5 Jun 2024, 10:52 am
FINRA is alleging violation of FINRA Rules 2111 and 2010 in that the broker recommended investments in Energy 11, L.P, Energy 12, L.P. and Spirit of America Energy Fund to multiple customers without a reasonable basis to believe the investments were suitable for those customers based on their investment profiles; and violation of FINRA Rules 4511 and 2010 in that he willfully caused David Lerner Associates, Inc., to maintain inaccurate books and records regarding customer… [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]
13 Jan 2023, 6:30 am
For the Balkinization 20th Anniversary SymposiumRichard Fallon Although I have never before written anything for inclusion in a blog, I am pleased by this opportunity to celebrate Balkinizationfor its remarkable contributions over the past twenty years. [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]
30 Mar 2023, 6:52 am
FINRA Rule 2111 (Suitability) requires broker-dealers to make recommendations that are consistent with the customer’s best interest. [read post]
25 May 2012, 12:59 am
Amendments Not Agreed To Amendment No. 2111 (Sen. [read post]
