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SHAPIRA v. CHARLES SCHWAB & CO., INC.

No. 02 Civ. 0425(LAK).

187 F.Supp.2d 188 (2002)

Guy SHAPIRA, Plaintiff, v. CHARLES SCHWAB & CO., INC., and National Association of Securities Dealers, Inc., Defendants,

United States District Court, S.D. New York.

February 27, 2002.

Attorney(s) appearing for the Case

David A. Zelman, Law Offices of David A. Zelman, New York City, for Plaintiff.

Charles D. Donahue, Matthew Farley, Drinker Biddle & Reath, LLP, New York City, Terri L. Reicher, National Association of Securities Dealers, Inc., Washington, DC, for Defendant National Association of Securities Dealers, Inc.

Ned H. Bassen, Hughes Hubbard & Reed LLP, New York City, for Defendant Charles Schwab & Co., Inc.

MEMORANDUM OPINION

KAPLAN, District Judge.

The complaint in this case alleges that plaintiff, an experienced stock broker, applied to defendant Charles Schwab & Co., Inc. ("Schwab") for a job and that he would be hired subject to checking his registration status with the National Association of Securities Dealers, Inc. (the "NASD"). Schwab then inquired of the NASD and checked into plaintiff's background through its own investigator. From one source...

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