broker dealer
Tag Archive

  • Wyoming Securities Laws

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the Wyoming securities laws that are generally applicable in FINRA arbitrations. CHAPTER 4 – SECURITIES 17-4-101. Fraudulent practices prohibited in securities sales and purchases. (a) It is unlawful for any person, in connection with

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  • Wisconsin Securities Laws

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the Wisconsin securities laws that are generally applicable in FINRA arbitrations. DFI−Sec 4.06 Prohibited conduct. (1) The following are deemed “dishonest or unethical business practices” or “taking unfair advantage of a

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  • West Virginia Securities Laws

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the West Virginia securities laws that are generally applicable in FINRA arbitrations. Pursuant to the authority delegated to the Commissioner by §32-4-402(b)(9) and §32-4-412 of the Code of West Virginia, the following transaction is

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  • Washington Securities Laws

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the Washington securities laws that are generally applicable in FINRA arbitrations. RCW 21.20.035 Unlawful purchases or sales for customer’s account. It is unlawful for a broker-dealer, salesperson, investment adviser, or investment

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  • Virginia Securities Laws

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the Virginia securities laws that are generally applicable in FINRA arbitrations. 21VAC5-20-280. Prohibited business conduct. A. No broker-dealer shall: 2. Induce trading in a customer’s account which is excessive in size or frequency

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  • Vermont Securities Laws

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the Vermont securities laws that are generally applicable in FINRA arbitrations. 21 030 003. Unethical or Dishonest Practices of Broker/Dealers and Sales Representatives – Regulation 91-1 SECTION 3: GENERAL RULES Unethical or

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  • Utah Securities Laws

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the Utah securities laws that are generally applicable in FINRA arbitrations. In relation to Broker-Dealers, as used in Subsection 61-1-6(1)(g) “dishonest or unethical practices” shall include: (2) inducing trading in a

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  • Texas Securities Laws

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the Texas securities laws that are generally applicable in FINRA arbitrations. Art. 581-33. Civil Liability with Respect to Issuance or Sale of a Security A. Liability of Sellers. (1) Registration and Related Violations. A person who offers

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  • Tennessee Securities Laws

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the Tennessee securities laws that are generally applicable in FINRA arbitrations. 0780-04-03-.02 POST REGISTRATION. (6) Prohibited Business Practices (a) The following shall be deemed “dishonest or unethical business practices” by a

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  • South Dakota securities laws

    August 26, 2010 Comments (0) Blog, Securities Fraud

    Each state has its own securities laws. The following are selected sections of the South Dakota securities laws that are generally applicable in FINRA arbitrations. 20:08:03:06. Dishonest and unethical practices, broker-dealer, broker-dealer agents. Any broker-dealer or agent who engages in one or more of the

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