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The New York Appellate Division, 1st Department, is sticking to its guns that broker-dealers are entitled to the broadest possible immunity for the statements they make in required U-5 forms about why their employees departed, even though federal courts have ruled in recent years that broker-dealers enjoy only a limited form of immunity. But in dissent, Justice Betty Weinberg Ellerin wrote that the time has come to limit broker-dealers to qualified immunity so that maligned employees have legal redress.
December 29, 2005 at 12:00 AM
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The original version of this story was published on Law.Com
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