Sentences with phrase «dealer firms involved»

Not exact matches

FINRA Rule 2111 requires, in part, that a broker - dealer or associated person «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 [firm] or associated person to ascertain the customer's investment profile.»

In April 2003, the North American Securities Administrators Association (NASAA), the U.S. Securities and Exchange Commission (SEC), National Association of Securities Dealers (NASD), and the New York Stock Exchange (NYSE) announced the settlement of enforcement actions involving conflicts of interest between the research and investment banking operations of the nation's 10 top investment firms.

In April 2003, the North American Securities Administrators Association (NASAA), the U.S. Securities and Exchange Commission (SEC), National Association of Securities Dealers (NASD), and the New York Stock Exchange (NYSE) announced the settlement of enforcement actions involving conflicts of interest between the research and investment banking operations of the nation's 10 top investment firms.

Prior to joining Williams Montgomery & John, he practiced for four years at another Chicago - based civil litigation firm where he represented real property developers, motor vehicle dealers, lending companies, food manufacturers and family owned businesses as both plaintiff and defendant in commercial litigation matters involving breach of contract, fraud and disputes under the Uniform Commercial Code, and defended his clients in consumer class action litigation.

He has handled virtually every kind of case, many involving sophisticated issues and sizeable amounts at stake, representing all kinds of parties such as entrepreneurs, developers, traders, physicians, partners, shareholders, officers and directors, corporations and banks, partnerships, LLC's, hospitals, pharmaceutical companies, construction companies, software companies, accountants, law firms, art dealers, private utilities, and even pro-bono the community surrounding Wrigley Field.

Advised and represented broker - dealer firms on FINRA regulatory investigations and inquiries involving supervisory procedures, sales practices, and operational issues

RCAP said its independent broker / dealers currently operating within the Cetera Financial network will not be involved in the bankruptcy filing; therefore, the company believes firms such as First Allied, Summit Brokerage Services and VSR Financial, as well as the advisors and vendors involved will remain largely unaffected by the proceedings.