United States Second Circuit

In a libel action brought by a terminated broker, claiming that statements made on an NASD employee termination form (Form U-5) are subject to an absolute privilege under New York law, the following question is certified to the New York Court of Appeals: Are statements made by an employer on a Form U-5 subject to an absolute or a qualified privilege?

Appellate Information

• Decided 06/29/2006
• Published 06/29/2006

Judges

• PER CURIAM:, Before:  JACOBS, Chief Judge, WALKER and WALLACE, Circuit Judges.

Court

• United States Second Circuit

Counsel

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


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