1. Home
  2. Browse Decisions
  3. Misc.3d
  4. 46 Misc.3d
  5. 46 Misc.3d 577 (2014)
 

WILLIAM TELL v. CAPITAL FIN.

235776

46 Misc.3d 577 (2014)

999 N.Y.S.2d 327

2014 NY Slip Op 24335

WILLIAM TELL SERVICES, LLC, Plaintiff, v. CAPITAL FINANCIAL PLANNING, LLC, et al., Defendants. JOHN BUFF, Defendant and Third-Party Plaintiff, v. JOSEPH A. VENTURA, Third-Party Defendant.

Supreme Court, Rensselaer County.

Decided July 24, 2014.

Attorney(s) appearing for the Case

Smith Hoke, PLLC, Slingerlands, for plaintiff and third-party defendant.

Hacker & Murphy, LLP, Latham, for Capital Financial Planning, LLC, and others, defendants.

OPINION OF THE COURT

The plaintiff William Tell Services, LLC (William Tell or plaintiff) and third-party defendant Joseph Ventura, the principal of William Tell, are securities brokers. Under applicable securities laws, in order to sell securities, a securities broker must be affiliated with a broker-dealer...

Let's get started

Leagle.com

Welcome to the leading source of independent legal reporting
Sign on now to see your case.
Or view more than 10 million decisions and orders.

  • Updated daily.
  • Uncompromising quality.
  • Complete, Accurate, Current.

Listed below are the cases that are cited in this Featured Case. Click the citation to see the full text of the cited case. Citations are also linked in the body of the Featured Case.

Cited Cases

  • No Cases Found

Listed below are those cases in which this Featured Case is cited. Click on the case name to see the full text of the citing case.

Citing Cases