Posts tagged with: "2111"
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8 Oct 2011, 9:02 am
FINRA's new KYC and suitability rules (FINRA Rules 2090 and 2111) Click here to read the complete post... [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]
15 Jan 2019, 7:19 am
., Client alleges unsuitably, misrepresentation, omissions, breach of fiduciary duty, violations of NASD Conducts Rule 301(A), Conduct Rule 2010, FINRA Conduct Rule 2010, FINRA Rule 2111, Negligence, and breach of contract and vicarious liability. [read post]
27 Feb 2007, 9:01 am
Shoppers across the country were warned to throw out jars with a product code on the lid beginning with "2111," which denotes the plant where it was made. [read post]
8 Nov 2009, 8:02 pm
If that's so, someone should update the MPEP, since §2111 contains a number of cites to infringement case law. [read post]
19 Feb 2007, 8:00 am
ConAgra Foods issued the recall for its jars of Peter Pan and Great Value peanut butter with product codes beginning with 2111 on Thursday. [read post]
2 Feb 2023, 6:52 pm
Ct. 2111 (2022), it is not…” [read post]
12 Jan 2023, 11:57 am
The Letter of Acceptance Waiver and Consent (AWC) discussed how two of Janney’s advisors “recommended that 11 customers unsuitably concentrate their accounts in certain energy-sector securities, including master limited partnerships focused on the exploration or development of natural resources” in violation of the FINRA Suitability Rule, 2111. [read post]
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]
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]
27 Mar 2012, 3:17 pm
See Wachovia Securities, LLC v.Brand, No. 10-2111 (4th Cir. [read post]
13 Aug 2010, 2:03 am
High Court (Queen’s Bench Division) VL (A Child) v Oxfordshire County Council [2010] EWHC 2091 (QB) (05 August 2010) High Court (Chancery Division) Abbar & Anor v Saudi Economic & Development Company (Sedco) Real Estate Ltd & Ors [2010] EWHC 2132 (Ch) (05 August 2010) High Court (Administrative Court) Grimsby Institute of Further and Higher Education, R (on the application of) v Learning and Skills Council [2010] EWHC 2134 (Admin) (12 August 2010) Asliturk v The City of… [read post]
14 Jun 2007, 12:28 pm
For more information on our firm, please contact us at 800-840-2111. [read post]
Sanctuary Wealth To Pay $530K Over Alleged Supervisory Failures Involving Exchange-Traded Fund Sales
26 Jul 2021, 7:16 am
According to the self-regulatory organization (SRO), going as far back as 2014 through the end of 2018 the brokerage firm failed to address in a “reasonable” manner the “unique features and risks” involving selling inverse and leveraged ETFs, which Sanctuary was required to do according to FINRA’s Rule 2111 regarding suitability. [read post]
21 Feb 2007, 11:59 am
" When Con-Agra recalled Peter Pan and Great Value-brand peanut butter bearing the code "2111" on the lid earlier this month, Hurley said the woman checked her cabinet and found a recalled jar. [read post]
14 Sep 2007, 6:47 pm
If you have any information on their whereabouts, please call Norcross Police at 770-448-2111. [read post]
21 Jul 2014, 9:04 pm
Washington, D.C. 2005 Phone: 202-628-2111 Friday 5:00-7:00 pm July 25, 2014 [read post]
8 Nov 2021, 11:18 am
May excessively and unsuitable traded a customer’s account, in violation of FINRA Rules 2111 and 2010. [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]
