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Expert Analysis

Off the Sled, And Out Of Court As Well?

Law360 (November 8, 2006, 12:00 AM EST) -- In June 2006, the U.S. Court of Appeals for the Second Circuit in Rosenberg v. MetLife, Inc., 453 F.3d 122 (2006) certified to the New York Court of Appeals the question of whether U-5's, the form by which the NASD requires financial services industry firms to disclose the reasons for terminating the employment of registered employees, are protected from defamation claims by an absolute or merely a qualified privilege. The case, which is due to be argued in December, deserves attention, because the Court of Appeals' answer could affect employers and employees in many pending and future securities arbitrations....

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