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ROSENBERG v. METLIFE, INC.

Docket No. 05-4363-CV.

453 F.3d 122 (2006)

Chaskie J. ROSENBERG, Plaintiff-Appellant, v. METLIFE, INC., Metropolitan Life Insurance Company, and Metlife Securities, Inc., Defendants-Appellees.

United States Court of Appeals, Second Circuit.

Decided: June 28, 2006.

Attorney(s) appearing for the Case

Maurice W. Heller (Jacob W. Heller and Allen M. Eisenberg, on the brief), Heller Horowitz & Feit, P.C., New York, NY, for Plaintiff-Appellant.

Steven E. Obus (Steven Yarusinsky, on the brief), Proskauer Rose LLP, Newark, NJ, for Defendants-Appellees.

Before WALKER, Chief Judge, JACOBS and WALLACE, Circuit Judges.

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...

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