Aiways recently unveiled and made available for test drives its all-electric SUV Aiways U5, which after a re-schedule is expected on sale in Europe in August 2020 (as 2021 model year) - as the first ...

Brokerage firms can say anything they like on a departing broker's Form U5, even if it's defamatory in nature — and untrue. That's because the New York Court of Appeals ruled in Rosenberg v. MetLife ...

Under Financial Industry Regulatory Authority’s (FINRA) rules, whenever broker-dealers, registered investment advisers, or issuers of securities (FINRA member) terminate the employment of a ...

This is the second in a three-part series on broker-dealer U5 Forms. You can read Part I here. If a broker thinks the language on a Form U5 disclosure is defamatory, they have an uphill battle, to say ...

In 1998, Raymond Acciardo was employed as a compliance officer at New York-based Millennium Securities. When the firm sought to commit what Acciardo thought looked like regulatory fraud, he wouldn't ...

A: While this may seem confusing at first, the answers are fairly simple. First, the arbitration is not showing up on your U4 because your prior employer submitted it on a U5. (Or, rather via an ...

Aiways announced that at the upcoming 2020 Geneva Motor Show, it will not only show a production version of the Aiways U5 for the European market but envisions the possibility of short 10-minute test ...

A Finra panel decision yesterday in an arbitration between J.P. Morgan Securities and a former advisor with the firm offered rare insight into ways the firm might use the Form U5—the official document ...

Q: More than two years ago, after I left my last job, I had a client file an arbitration action against me and my former employer. The case recently settled. My current employer had already listed ...

iQOO U5 launch date seems to be drawing near. The reason behind it is that it has appeared with all its specifications in the database of China’s TENAA certification site (via). Unfortunately, the ...