Legal Opinion
Chaskie J. Rosenberg v. Metlife, Inc., Metropolitan Life Insurance Company, and Metlife Securities, Inc., Docket No. 05-4363-Cv
Court of Appeals for the Second Circuit
Decided June 28, 2006No. 122PublishedCited by 14 opinions
1Opinion of the Court
JOHN M. WALKER, JR., Chief Judge.
The National Association of Securities Dealers (“NASD”) requires that, whenever a registered employee is terminated, a member firm must fill out and submit to the association a termination form (“Form U-5”), which the NASD retains and makes available to any member firm upon request. The form asks the reason for the termination; it is typically requested by member firms whenever a broker applies for a new job. Although the forms were designed to provide both member firms and the public with information about brokers’ conduct, they also can be used to smear and…
2Cases cited18 opinions
- West v. American Telephone & Telegraph Co.Supreme Court of the United States · 1940
- Miller v. Wolpoff & Abramson, L.L.P.Court of Appeals for the Second Circuit · 2003
- Liberman v. GelsteinNew York Court of Appeals · 1992
- Lino Celle and Radio Mindanao Network Usa, Inc. v. Filipino Reporter Enterprises Inc. And Libertito PelayoCourt of Appeals for the Second Circuit · 2000
- Ahmad Baravati v. Josephthal, Lyon & Ross, Incorporated, and Peter SheibCourt of Appeals for the Seventh Circuit · 1994
13 more not listed; retrieve them via the Exa API.
3Cited by14 opinions
- Rosenberg v. MetLife, Inc.New York Court of Appeals · 2007
- Thai v. Cayre Group, Ltd.District Court, S.D. New York · 2010
- Boehner v. HeiseDistrict Court, S.D. New York · 2010
- In Re BrousUnited States Bankruptcy Court, S.D. New York · 2007
- Orenstein v. FigelDistrict Court, S.D. New York · 2009
9 more not listed; retrieve them via the Exa API.