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Expert Analysis

Clarity For Supervisory Liability?

Law360, New York (March 14, 2012, 2:06 PM EDT) -- In a significant speech at the Practicing Law Institute's SEC Speaks program on Feb. 24, 2012, SEC Commissioner Daniel M. Gallagher attempted to clarify when legal and compliance personnel are "supervisors" for purposes of failure-to-supervise liability. This issue has been murky since the U.S. Securities and Exchange Commission brought failure-to-supervise charges against Theodore Urban, the former general counsel of the brokerage firm Ferris Baker & Watts Inc. (FBW) in 2009....

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