...available to all member firms of FINRA, and those firms review the U-5s of prospective employees before making any hiring decisions. Although public investors...
Roy L. Reardon and Mary Elizabeth McGarry, partners at Simpson Thacher & Bartlett LLP, discuss recent decisions of the Court, in which it addressed expert evidence on the reliability of eyewitness id
Ralph DeSena, head of litigation for broker-dealer RBC Capital Markets Corp., writes that unless and until a national rule is enacted, the Court of Appeals decision holding statements on a Form U-5 a
Philip M. Berkowitz, a partner at Nixon Peabody, writes that it is commonly recognized that statements in a U-5 form, which states the reasons for a registered employee's departure and is required by
E. Leo Milonas and Frederick A. Brodie, partners at Pillsbury Winthrop Shaw Pittman, ask: If you appeal to the Appellate Division, what are your statistical chances of obtaining reversal? The numbers
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