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Browse: Home / 2012 / January / 27 / SEC drops supervisor case against ex-general counsel | Reuters

SEC drops supervisor case against ex-general counsel | Reuters

By Securities Docket on January 27, 2012, 8:03 pm

The Securities and Exchange Commission dismissed a three-year case against the former general counsel of an investment bank whom the agency accused of failing to supervise a rogue broker.An order by a divided Commission, late Thursday, ended the agency’s controversial action against Theodore Urban, once general counsel of the former Ferris Baker Watts LLC, a Washington, D.C.-based brokerage and investment bank, now part of RBC Wealth Management.

via SEC drops supervisor case against ex-general counsel | Reuters.

Posted in SEC, Top | Tagged Dismissals

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