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BGC NOTES, LLC v. GORDON

1122N, 651808/14.

142 A.D.3d 435 (2016)

36 N.Y.S.3d 130

BGC NOTES, LLC, Appellant, v. KEVIN J. GORDON, Respondent.

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

Decided August 11, 2016.

Nonparty BGC Financial is a securities broker-dealer and a member of the Financial Industry Regulatory Authority, Inc. (FINRA); BGC Notes is an affiliate of BGC Financial. BGC Notes is not itself a member of FINRA, but some of its affiliates, such as BGC Financial, are members. Similarly, defendant Kevin J. Gordon is a FINRA-registered broker.

In 2011, BGC Financial recruited Gordon to become a broker on its asset-backed...

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