Stock Broker Fraud Blog - Sec Enforcement

Tag Cloud

SEC to Probe Whether Former Ferris, Baker Watts Inc. General Counsel Failed to Properly Supervise Broker Convicted of Securities Fraud

Nov 2nd 8:14 pm

The US Securities and Exchange Commission says it will investigate allegations that former Ferris, Baker Watts Inc. general counsel Theodore W. Urban did not properly supervise Stephen Glantz. In 2007...

SEC to Continue Fight Against Senior Investment Fraud in 2010

Nov 9th 11:38 pm

The Securities and Exchange Commission is stepping up its efforts to combat senior investment fraud. In 2010, the SEC plans to focus on issues related to retirement investments, including product deve...