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FIRST HUDSON FIN. v. MARTINOS

11 Misc.3d 394 (2005)

812 N.Y.S.2d 767

FIRST HUDSON FINANCIAL GROUP, INC., Petitioner, v. JOHN MARTINOS et al., Respondents.

Supreme Court, New York County.

December 6, 2005.

Attorney(s) appearing for the Case

Yuet Kwan Wong, New York City, for petitioner.

Brian J. Neville, New York City, respondent pro se, and for John Martinos and another, respondents.

OPINION OF THE COURT

ROLANDO T. ACOSTA, J.

The issue before the court is whether an attorney who has previously issued two advisory opinions concerning the issuing of shares by a brokerage firm to one of the firm's principals in exchange for the principal's contribution of additional capital to the firm is precluded by Code of Professional Responsibility DR 4-101 and DR 5-108 (22 NYCRR 1200.19, 1200.27) from later...

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