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Expert Analysis

Legal, Compliance Employees On The Hook After Urban

Law360 (October 4, 2010, 1:01 PM EDT) -- On Sept. 8 a U.S. Securities and Exchange Commission administrative law judge ruled that Theodore W. Urban, the former general counsel of the brokerage firm Ferris Baker Watts Inc., acted reasonably in his supervision of a rogue broker and dismissed the case brought by the SEC's Enforcement Division. See In the Matter of Theodore W. Urban, Adm. Proc. File No. 3-13655, Initial Decision (Sept. 8, 2010)....

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