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BARAVATI v. JOSEPHTHAL, LYON & ROSS, INC.

No. 93-3647.

28 F.3d 704 (1994)

Ahmad BARAVATI, Plaintiff-Appellee, v. JOSEPHTHAL, LYON & ROSS, INCORPORATED, and Peter Sheib, Defendants-Appellants.

United States Court of Appeals, Seventh Circuit.

Decided July 1, 1994.

Attorney(s) appearing for the Case

Judson H. Miner, Barack H. Obama (argued), Davis, Miner, Barnhill & Galland, Chicago, IL, for plaintiff-appellee.

M. Jayne Rizzo, Kelley, Drye & Warren, Chicago, IL, Michael L. Hirschfeld (argued), Kelley, Drye & Warren, New York City, for defendant-appellant.

Before POSNER, Chief Judge, BAUER, Circuit Judge, and TINDER, District Judge.

POSNER, Chief Judge.

Ahmad Baravati was employed as a broker in the Chicago office of Josephthal, Lyon & Ross, Inc. (JLR), a New York securities firm that is a member of the National Association of Securities Dealers. JLR fired Baravati. The NASD requires that whenever a broker is terminated, the member firm that employed him must fill out and submit to the association a termination notice form (form U-5), which the NASD retains and makes available to any member...

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