Legal Opinion
Carter Financial Corp. v. Atlantic Medical Management, L. L. C.
Appellate Division of the Supreme Court of the State of New York
Decided June 17, 1999PublishedCited by 6 opinions
1Opinion of the Court
—Order, Supreme Court, New York County (Ira Gammerman, J.), entered January 20, 1999, which, in an action to recover placement fees and profit interests that plaintiff allegedly earned while acting as a placement agent for defendant investment fund and its principals, insofar as appealed from, denied defendants’ motion for summary judgment dismissing the complaint on the ground of illegality, unanimously affirmed, with costs.
The defense of illegality, based on plaintiff’s failure to register as a broker-dealer in violation of Securities Exchange Act of 1934 § 15 (a) (1) (15 USC § 78o [a]…
2Cases cited3 opinions
- Romano v. RomanoNew York Court of Appeals · 1967
- Singer v. Eli Lilly & Co.Appellate Division of the Supreme Court of the State of New York · 1990
- Kaplan v. StateAppellate Division of the Supreme Court of the State of New York · 1989
3Cited by6 opinions
- Marcum, LLP v. SilvaAppellate Division of the Supreme Court of the State of New York · 2014
- Celsion Corp. v. Stearns Management Corp.District Court, N.D. Illinois · 2001
- Lawrence v. Richman Group of Connecticut, LLCDistrict Court, D. Connecticut · 2005
- Obstfeld v. Thermo Niton Analyzers, LLCAppellate Division of the Supreme Court of the State of New York · 2013
- Marcum, LLP v. SilvaAppellate Division of the Supreme Court of the State of New York · 2014
1 more not listed; retrieve them via the Exa API.