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BECKMAN v. GREENTREE SEC.

87 N.Y.2d 566 (1996)

663 N.E.2d 886

640 N.Y.S.2d 845

In the Matter of Harris Beckman et al., Respondents, v. Greentree Securities, Inc., Respondent, and James Goldberg, Appellant.

Court of Appeals of the State of New York.

Decided January 9, 1996.

Attorney(s) appearing for the Case

Simon S. Kogan, New York City, for appellant.

Rosen, Einbinder & Dunn, P. C., New York City (Michael Einbinder and Deena L. Schiffman of counsel), for Harris Beckman and another, respondents.

Chief Judge KAYE and Judges SIMONS, TITONE, BELLACOSA, SMITH and CIPARICK concur.

LEVINE, J.

At issue in this appeal is the validity of an arbitration award granted against appellant upon default. Petitioners were investment clients of Greentree Securities, Inc., a New York City brokerage firm which was a member of the National Association of Securities Dealers, Inc. (NASD). Appellant was employed by Greentree between 1985 and 1988 as an NASD registered representative, authorized to act as...

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