On July 20, 2017 a
Notice of Appeal
was filed
involving a dispute between
Ronnie Dorrity,
and
Terry James Dorrity,
for Commercial - Contract
in the District Court of Lewis County.
Preview
FILED: LEWIS COUNTY CLERK 12/10/2018 10:42 AM INDEX NO. EFCA2017-000246
NYSCEF DOC. NO. 30 RECEIVED NYSCEF: 01/12/2022
SUPREME COURT
COUNTY OF 0N0NBA6A- LF45
STATE OF NEW YORK )
|R 10 1
RONNIE DORRITY
TERRY JAMES DORRITY
NOTICE OF APPEAL
PLEASE TAKE NOTICE THAT Terry James Dorrity appeals to the Appellate Division
Fourth Department of the Supreme Court of the State of New York from an order of James Mc
Clusky dated September 6, 2018, filed in the Lewis County Clerks office on 10/29/18 and served
on November 10, 2018 by mail.
oodruff Lee Carroll
334 Nottingham Road
Syracuse, NY 13202
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FILED: LEWIS COUNTY CLERK 12/10/2018 10:42 AM INDEX NO. EFCA2017-000246
NYSCEF DOC. NO. 30 RECEIVED NYSCEF: 01/12/2022
tro// Wá 25tterd/ Ú½nyers, ÑŸ
Ghnse / txD
‰ ‰,o// (/ w 2txu) .f du ?‰qamin ‰rd/ ff R
r‰t/ng‰ ‰ns ?A T.
November 10, 2018
Stuart E. Finer Esq.
2613 Genesee St
Utica, NY 13501
In re: Dorrity v Dorrity
PLEASE TAKE NOTICE that the enclosed is a true copy of an order that was filed on
10/29/2018 in with the Lewis County Clerk.
Sincerely,
Woodruff Lee Carroll
to//earno/Á«+wen.//e///er.eem
2 of 6
FILED: LEWIS COUNTY CLERK 12/10/2018 10:42 AM INDEX NO. EFCA2017-000246
NYSCEF DOC. NO. 30 RECEIVED NYSCEF: 01/12/2022
ILE At a Term of Supreme Court in
held
Village of Lowville, New York on the
23'd
LINDA D. HOSKINS day of August, 2018
LEWIS COUNTY CLERK
PRESENT: HONORABLE JAMES P. McCLUSKY
Supreme Court Justice
STATE OF NEW YORK
SUPREME COURT COUNTY OF LEWIS
RONNIE DORRITY MEMORANDUM
DECISION
Plaintiff, 481D-
ORDER
-ve-
TERRY JAMES DORRITY Index No. CA2017-000246
Defendant. RJI No. S24-2017-0140
Defendant moves to dismiss the action on the statute of limitations grounds and if
any claims remain stay the action pending arbitration on those claims. The Court has
considered the following: the Affidavit of Woodruff Carroll, dated March 9, 2018; the
Affidavit of Terry Dorrity, dated March 7, 2018; the Affirmation of Matthew J.Fanelli, dated
April 12, 2018, and the Affirmation of Ronnie Dorrity, dated April 12, 2018.
The underlying action was commenced on July 20, 2017 and seeks to address
aims of fraud by the Defendant in handling the investments of the Plaintiff. Inparticular,
firstcause of action is under General Business Law § 349, the second cause of action
sounds in fraud, the third cause of action alleges a breach of fiduciary duty, and the fourth
cause of action alleges failure to follow Securities and Exchange Rules.
In determining ifarbitration should occur Courts must look to see ifthere is a valid
agreement to arbitrate, ifthe particular dispute comes within the scope of the arbitration
1
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FILED: LEWIS COUNTY CLERK 12/10/2018 10:42 AM INDEX NO. EFCA2017-000246
NYSCEF DOC. NO. 30 RECEIVED NYSCEF: 01/12/2022
agreement, and ifthere has been compliance with any condition precedent
Plaintiff cites two arbitration agreements. The first is titled Advisory Agreement of
Fidelity Planning Group (FPG). That agreement was signed on March 4, 2008 and is
between the Plaintiff and Fidelity Planning Group. A document signed by the Plaintiff
acknowledges that the Defendant is his broker and the representative of FPG. The FPG
agreement requires "any controversy between the parties hereto involving construction or
application of any terms, covenants or conditions of this Agreement shall...be submitted
arbitration."
to
Plaintiff argues the Advisory Agreement of Fidelity Planning Group is not an
enforceable agreement as itlimits the time to sue to a period shorter than the New York
State set statute of limitations. Parties are free to contract any conditions or limitations
which they desire. Therefore this is not a reason to inva!idats the FPG arbitration clause.
Plaintiff also argues that the agreement does not have the language required by the
ommodities and Securities Exchange Rules. As the agreement is one associated with
the investment in commodities and securities that come under these rules the Court finds
the contact is not a valid contract as to the arbitration clause.
Defendant also cites an agreement signed February 6, 2007. The Court will refer
to this agreement as the Ace agreement. This agreement has the language required by
the Securities and Exchange Commission. The agreement is a valid agreement to
arbitrate. Plaintiff, if he wishes to commence arbitration must file an intent to submit a
':laim which will then trigger Defendant's obligation to act. Up to this point there has been
':ompliance with the agreement.
2
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FILED: LEWIS COUNTY CLERK 12/10/2018 10:42 AM INDEX NO. EFCA2017-000246
NYSCEF DOC. NO. 30 RECEIVED NYSCEF: 01/12/2022
It is therefore
ORDERED that the action is stayed so that itmay proceed by way of arbitration if
Plaintiff desires to pursue these claims.
Dated: September , 2018
at Watertown, New York
ENTER
JAM P. M LUSKY
Su reme C urt Justice
3
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FILED: LEWIS COUNTY CLERK 12/10/2018 10:42 AM INDEX NO. EFCA2017-000246
NYSCEF DOC. NO. 30 RECEIVED NYSCEF: 01/12/2022
Supreme Court
State of New York
CHAMBERS
Dulles State Office Building
to*
317 Washington St., Floor
Watertown. NY 136o1-3783
JAMES P. McCLUSKY
TelephGilc (315) 221-5821
Justice
October 26, 201 8 Fax: (315) 266-4781
Woodruff Lee Carroll. Esq.
Carroll & Carroll Lawyers, P.C.
600 East Genesee Street, Suite 108
Syracuse, NY 13202
RE: Ronnie Dorrity vs Terry James Dorrity.
Index No. CA2017-0246; RJi No.S24-17-0140
Dear Mr. Carroll:
Enclosed please find the original replacement Order issued in the above matter for
filing with the Lewis County Clerk's Office.
Sincerely,
Barbara J. Wright
Secretary to Hon. James P. McClusky
Enclosure
6 of 6
Document Filed Date
December 10, 2018
Case Filing Date
July 20, 2017
Category
Commercial - Contract
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FILED: LEWIS COUNTY CLERK 12/10/2018 10:42 AM INDEX NO. EFCA2017-000246 NYSCEF DOC. NO. 30 RECEIVED NYSCEF: 01/12/2022 SUPREME COURT COUNTY OF 0N0NBA6A- LF45 STATE OF NEW YORK ) |R 10 1 RONNIE DORRITY TERRY JAMES DORRITY NOTICE OF APPEAL PLEASE TAKE NOTICE THAT Terry James Dorrity appeals to the Appellate Division Fourth Department of the Supreme Court of the State of New York from an order of James Mc Clusky dated September 6, 2018, filed in the Lewis County Clerks office on 10/29/18 and served on November 10, 2018 by mail. oodruff Lee Carroll 334 Nottingham Road Syracuse, NY 13202 1 of 6 FILED: LEWIS COUNTY CLERK 12/10/2018 10:42 AM INDEX NO. EFCA2017-000246 NYSCEF DOC. NO. 30 RECEIVED NYSCEF: 01/12/2022 tro// Wá 25tterd/ Ú½nyers, ÑŸ Ghnse / txD ‰ ‰,o// (/ w 2txu) .f du ?‰qamin ‰rd/ ff R r‰t/ng‰ ‰ns ?A T. November 10, 2018 Stuart E. Finer Esq. 2613 Genesee St Utica, NY 13501 In re: Dorrity v Dorrity PLEASE TAKE NOTICE that the enclosed is a true copy of an order that was filed on 10/29/2018 in with the Lewis County Clerk. Sincerely, Woodruff Lee Carroll to//earno/Á«+wen.//e///er.eem 2 of 6 FILED: LEWIS COUNTY CLERK 12/10/2018 10:42 AM INDEX NO. EFCA2017-000246 NYSCEF DOC. NO. 30 RECEIVED NYSCEF: 01/12/2022 ILE At a Term of Supreme Court in held Village of Lowville, New York on the 23'd LINDA D. HOSKINS day of August, 2018 LEWIS COUNTY CLERK PRESENT: HONORABLE JAMES P. McCLUSKY Supreme Court Justice STATE OF NEW YORK SUPREME COURT COUNTY OF LEWIS RONNIE DORRITY MEMORANDUM DECISION Plaintiff, 481D- ORDER -ve- TERRY JAMES DORRITY Index No. CA2017-000246 Defendant. RJI No. S24-2017-0140 Defendant moves to dismiss the action on the statute of limitations grounds and if any claims remain stay the action pending arbitration on those claims. The Court has considered the following: the Affidavit of Woodruff Carroll, dated March 9, 2018; the Affidavit of Terry Dorrity, dated March 7, 2018; the Affirmation of Matthew J.Fanelli, dated April 12, 2018, and the Affirmation of Ronnie Dorrity, dated April 12, 2018. The underlying action was commenced on July 20, 2017 and seeks to address aims of fraud by the Defendant in handling the investments of the Plaintiff. Inparticular, firstcause of action is under General Business Law § 349, the second cause of action sounds in fraud, the third cause of action alleges a breach of fiduciary duty, and the fourth cause of action alleges failure to follow Securities and Exchange Rules. In determining ifarbitration should occur Courts must look to see ifthere is a valid agreement to arbitrate, ifthe particular dispute comes within the scope of the arbitration 1 3 of 6 FILED: LEWIS COUNTY CLERK 12/10/2018 10:42 AM INDEX NO. EFCA2017-000246 NYSCEF DOC. NO. 30 RECEIVED NYSCEF: 01/12/2022 agreement, and ifthere has been compliance with any condition precedent Plaintiff cites two arbitration agreements. The first is titled Advisory Agreement of Fidelity Planning Group (FPG). That agreement was signed on March 4, 2008 and is between the Plaintiff and Fidelity Planning Group. A document signed by the Plaintiff acknowledges that the Defendant is his broker and the representative of FPG. The FPG agreement requires "any controversy between the parties hereto involving construction or application of any terms, covenants or conditions of this Agreement shall...be submitted arbitration." to Plaintiff argues the Advisory Agreement of Fidelity Planning Group is not an enforceable agreement as itlimits the time to sue to a period shorter than the New York State set statute of limitations. Parties are free to contract any conditions or limitations which they desire. Therefore this is not a reason to inva!idats the FPG arbitration clause. Plaintiff also argues that the agreement does not have the language required by the ommodities and Securities Exchange Rules. As the agreement is one associated with the investment in commodities and securities that come under these rules the Court finds the contact is not a valid contract as to the arbitration clause. Defendant also cites an agreement signed February 6, 2007. The Court will refer to this agreement as the Ace agreement. This agreement has the language required by the Securities and Exchange Commission. The agreement is a valid agreement to arbitrate. Plaintiff, if he wishes to commence arbitration must file an intent to submit a ':laim which will then trigger Defendant's obligation to act. Up to this point there has been ':ompliance with the agreement. 2 4 of 6 FILED: LEWIS COUNTY CLERK 12/10/2018 10:42 AM INDEX NO. EFCA2017-000246 NYSCEF DOC. NO. 30 RECEIVED NYSCEF: 01/12/2022 It is therefore ORDERED that the action is stayed so that itmay proceed by way of arbitration if Plaintiff desires to pursue these claims. Dated: September , 2018 at Watertown, New York ENTER JAM P. M LUSKY Su reme C urt Justice 3 5 of 6 FILED: LEWIS COUNTY CLERK 12/10/2018 10:42 AM INDEX NO. EFCA2017-000246 NYSCEF DOC. NO. 30 RECEIVED NYSCEF: 01/12/2022 Supreme Court State of New York CHAMBERS Dulles State Office Building to* 317 Washington St., Floor Watertown. NY 136o1-3783 JAMES P. McCLUSKY TelephGilc (315) 221-5821 Justice October 26, 201 8 Fax: (315) 266-4781 Woodruff Lee Carroll. Esq. Carroll & Carroll Lawyers, P.C. 600 East Genesee Street, Suite 108 Syracuse, NY 13202 RE: Ronnie Dorrity vs Terry James Dorrity. Index No. CA2017-0246; RJi No.S24-17-0140 Dear Mr. Carroll: Enclosed please find the original replacement Order issued in the above matter for filing with the Lewis County Clerk's Office. Sincerely, Barbara J. Wright Secretary to Hon. James P. McClusky Enclosure 6 of 6