Posts tagged with: "2111"
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24 Nov 2020, 5:02 am
FINRA Conduct Rule 2111 focuses on three fundamental concepts: Reasonable-basis suitability: Based on reasonable diligence, a broker is required to have a reasonable basis to believe that the recommendation is suitable for at least some investors. [read post]
24 Nov 2020, 5:02 am
FINRA Conduct Rule 2111 focuses on three fundamental concepts: Reasonable-basis suitability: Based on reasonable diligence, a broker is required to have a reasonable basis to believe that the recommendation is suitable for at least some investors. [read post]
24 Oct 2020, 6:00 am
” As explained in Supplementary Material 2111.05(c): A violation of FINRA 2111 also constitutes a violation of FINRA Rule 2010, which required associated persons to observe high standards of commercial honor and just and equitable principles of trade in the conduct of their business. [read post]
13 Oct 2020, 4:00 am
" §2111 states that a school district officer "may resign to a district meeting. [read post]
13 Oct 2020, 4:00 am
" §2111 states that a school district officer "may resign to a district meeting. [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]
28 Aug 2020, 4:00 am
Peter Douglas Monson of Blaine, Minnesota submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he allegedly exercised discretion and engaged in excessive and unsuitable trading in violation of NASD Conduct Rule 2510(b) and FINRA Rules 2111 and 2010. [read post]
28 Aug 2020, 4:00 am
Peter Douglas Monson of Blaine, Minnesota submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he allegedly exercised discretion and engaged in excessive and unsuitable trading in violation of NASD Conduct Rule 2510(b) and FINRA Rules 2111 and 2010. [read post]
26 Aug 2020, 4:00 am
FINRA Rule 2111 requires that a registered representative have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer. [read post]
26 Aug 2020, 4:00 am
FINRA Rule 2111 requires that a registered representative have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer. [read post]
12 Aug 2020, 4:00 am
A violation of FINRA Rule 2111 also constitutes a violation of FINRA Rule 2010. [read post]
10 Aug 2020, 4:00 am
Robert Frank Spiegel of Staten Island, New York submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for allegedly engaging in excessive and unsuitable trading in violation of FINRA Rules 2111 and 2010. [read post]
5 Aug 2020, 4:00 am
Mason Wayne Gann of Dallas, Texas submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for unsuitable recommendations in violation of FINRA Rule 2111 and 2010. [read post]
4 Aug 2020, 8:22 am
This post will be unusually blunt about my disenchantment with the state of our country, a topic I don’t normally discuss on the blog. [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]
9 Jul 2020, 3:09 pm
The Supreme Court ruled Thursday that New York prosecutors can access President Trump’s financial records, writes the New York Times. [read post]
6 Jul 2020, 7:12 am
The allegations include violations of FINRA Rule 2110 high standards of commercial honor and equitable principles of trade, Rule 2111 conducting adequate due diligence, negligence, misrepresentation and omission of material facts, breach of fiduciary duty, violations of Oregon Securities Law and elder abuse. [read post]
17 Jun 2020, 1:49 pm
I NASD Rule 2310 was superseded by FINRA Rule 2111 on July 9, 2012. [read post]
27 May 2020, 7:32 am
FINRA Rule 2111 requires a FINRA member or associated person to know their investor’s profile and have a reasonable basis to believe a transaction they are recommending is suitable to them. [read post]
7 May 2020, 9:51 am
Further, Woods purportedly violated FINRA Rules 2111 and 2010 because allegedly “he did not have a reasonable basis for recommending that the customers purchase the REITs, which were inconsistent with the customers’ investment profiles. [read post]
