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BATTLE v. PRUDENTIAL INS. CO. OF AMERICA

No. 3-96-870.

973 F.Supp. 861 (1997)

Robert E. BATTLE, Plaintiff, v. The PRUDENTIAL INSURANCE COMPANY OF AMERICA, d/b/a Prudential Insurance and Financial Services, Harry E. Axford, Steve T. Kattke, Michael F. Schuster, Winter and Associates, Inc. and Minnesota Mutual Life Insurance Co., Defendants.

United States District Court, D. Minnesota, Third Division.

August 4, 1997.

Attorney(s) appearing for the Case

Steven W. Cooper, Stacey R. Everson, Minneapolis, MN, for plaintiff.

Melissa Raphan, Minneapolis, MN, for Prudential Ins.Co. of America.

Michael B. Chase, St. Paul, MN, for defendants Harry E. Axford, Steve T. Kattke and Michael F. Schuster.

Susan D. Hall, Cosgrove, Flynn & Gaskins, Minneapolis, MN, for defendant Winter and Associates, Inc.

MEMORANDUM OPINION AND ORDER

DAVIS, District Judge.

Facts

Plaintiff Robert Battle was employed by The Prudential Insurance Company of America ("Prudential") from May 1980 to September 1994. On December 7, 1984, Plaintiff executed a National Association of Securities Dealers ("NASD") Uniform Application for Securities Industry Registration or Transfer Form U-4 ("U-4") in connection with his employment at Prudential. Thereafter, Plaintiff...

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