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Apr 13, 2022 · Specifically, David concentrated between about 32.72-71.18% of the clients’ liquid net worth in non-investment grade fixed income securities that FINRA said was inconsistent with the clients ...
Jul 13, 2023 · “Johnson dramatically inflated his customers’ net worth and liquid net worth and dramatically understated the percentage of his customers’ assets invested in alternative investments in order ...
Dec 22, 2022 · In one instance, Rep A “caused the financial information for a customer to falsely reflect that his liquid net worth tripled, increasing from $4.5 million in May 2015 to $13 .6 million in ...
May 1, 1999 · 1. When recommending a variable annuity, members and their registered representatives should make reasonable efforts to obtain comprehensive customer information, including the customer's occupation, marital status, age, number of dependents, investment objectives, risk tolerance, tax status, previous investment experience, liquid net worth, other investments and savings, and annual income.
Is a member NYSE - FINRA - SIPC and regulated by the US Securities and Exchange Commission and the Commodity Futures Trading Commission. Headquarters: One Pickwick Plaza, Greenwich, CT 06830 USA. Website: www.interactivebrokers.com
May 5, 2008 · Published Date: November 06, 2007. Effective Date: May 5, 2008. On September 7, 2007, the SEC approved new NASD Rule 2821 regarding broker-dealers' compliance and supervisory responsibilities for deferred variable annuities.1 The rule text is set forth in Attachment A and is effective May 5, 2008.
May 26, 2020 · However, liquid net worth always comes out a little less than the actual net worth. This is so because while calculating liquid net worth conversion, transaction and liquidation costs are also taken into consideration. Hence the formula actually would seem like: Liquid net worth = (Liquid Assets – Liquid Liabilities) – Liquidation costs
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65 EAST STATE STREET, COLUMBUS, OH · Directions · (614) 225-3006
