Posts tagged with: "2111"
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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]
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]
18 Mar 2021, 7:27 am
By allegedly engaging in excessive and unsuitable trading in the Customers’ accounts, Parikh violated FINRA Rules 2111 and 2010, according to the regulator. [read post]
17 Feb 2021, 2:01 pm
For allegedly engaging in this misconduct, FINRA brought causes of action for (1) Churning in violation of Section 10(b) of the Securities Exchange Act, Rule 10b-5, and FINRA Rules 2020 and 2010, (2) Excessive Trading/Quantitative Unsuitability in violation of FINRA Rules 2111 and 2010, and (3) Unauthorized Trading in violation of FINRA Rule 2010. [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]
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]
2 Feb 2021, 8:16 am
Brokers are required to make suitable investment recommendations pursuant to FINRA Rule 2111 “Suitability” and FINRA Rule 2090 “Know Your Customer. [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]
1 Feb 2021, 2:02 pm
Unsuitable Investment Recommendations Brokers and broker-dealers are regulated by federal securities laws and FINRA rules and standards and are required to make suitable investment recommendations pursuant to FINRA Rule 2111 “Suitability” and FINRA Rule 2090 “Know Your Customer. [read post]
26 Jan 2021, 6:56 am
Tricarico violated FINRA Rules 2111 and 2010 when he engaged in excessive and quantitatively unsuitable trading in the accounts of three customers. [read post]
22 Jan 2021, 1:07 pm
Under FINRA Suitability Rule 2111 stockbrokers must have a reasonable basis for recommending a series of transactions in a customer’s account. [read post]
22 Jan 2021, 12:13 pm
Unsuitable Investment Recommendations Brokers and broker-dealers are required to only make suitable investment recommendations to their customers, pursuant to FINRA Rule 2111 and FINRA Rule 2090. [read post]
22 Jan 2021, 12:05 pm
David Bibo Accused Of Making Unsuitable Investment Recommendations Brokers and broker-dealers are required to only make suitable investment recommendations to their customers, pursuant to FINRA Rule 2111 “Suitability” and FINRA Rule 2090 “Know Your Customer. [read post]
20 Jan 2021, 6:02 am
FINRA alleged that between January 2018 through May 2019, while employed by First Standard Financial Company in Red Bank, NJ, Frank Lucchetto excessively and unsuitably traded a customer’s account, in violation of FINRA Rules 2111 and 2010. [read post]
28 Dec 2020, 3:10 pm
Zakhary made unsuitable recommendations to three customers to sell variable annuities and replace them with fixed annuities, in violation of FINRA Rules 2111 and 2010. [read post]
17 Dec 2020, 8:59 pm
Specifically, that it: Failed to establish, maintain and enforce a supervisory system, including written supervisory procedures (“WSPs”) that were reasonably designed to ensure compliance with FINRA Rule 2111 related to solicited sales of non-traditional ETFs by the firm’s registered representatives. [read post]
17 Dec 2020, 7:42 am
Princeton Int’l Properties, the Appellate Division released an important decision on April 9, 2020, (A-2111-18T3) regarding a commercial landowner’s potential responsibility to keep its public walkways along its property safe, via snow and ice removal, even when precipitation is falling. [read post]
17 Dec 2020, 7:42 am
Princeton Int’l Properties, the Appellate Division released an important decision on April 9, 2020, (A-2111-18T3) regarding a commercial landowner’s potential responsibility to keep its public walkways along its property safe, via snow and ice removal, even when precipitation is falling. [read post]
13 Dec 2020, 7:09 am
., a white GMC truck ran a stop sign at the intersection of Washington Palm Drive and Farm to Market Road 2111. [read post]
10 Dec 2020, 8:40 am
Pandekakes recommended four unsuitable exchanges of variable annuities, in violation of FINRA Rules 2111, 2330, and 2010. [read post]
