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HORIZON ASSET MANAGEMENT, INC. v. DUFFY

4425, 602509/08.

82 A.D.3d 442 (2011)

918 N.Y.S.2d 85

HORIZON ASSET MANAGEMENT, INC., Respondent, v. RAYMOND V. DUFFY, Defendant/Counterclaim Plaintiff-Appellant. MURRAY STAHL et al., Counterclaim Defendants-Respondents.

Appellate Division of the Supreme Court of New York, First Department.

Decided March 3, 2011.

Defendant/counterclaim plaintiff Raymond Duffy was an employee of plaintiff Horizon Asset Management, Inc. After an SEC investigation, Horizon requested that defendant make several changes in the way he worked, so as to avoid misrepresentations and to avoid violations of the Investment Advisors Act of 1940. When defendant did not comply to plaintiff's satisfaction, plaintiff terminated his employment and brought the within action...

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