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HERZFELD & STERN, INC. v. BECK

175 A.D.2d 689 (1991)

Herzfeld & Stern, Inc., Plaintiff, v. Warren Beck, Defendant. (Action No. 1.) Warren Beck, Respondent, v. Herzfeld & Stern, Inc., Appellant. (Action No. 2.)

Appellate Division of the Supreme Court of the State of New York, First Department.

August 1, 1991

Until March 30, 1984, plaintiff Warren Beck was employed by defendant Herzfeld & Stern, a registered securities broker and dealer, as a research analyst and securities representative. Following his dismissal from the company, defendant, in compliance with regulatory requirements, filed a Uniform Termination Notice for Securities Industry Registration (U-5 notice), dated April 26, 1984, which advised, among others, the Securities...

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