Year: 2010

Doing the “right thing” can be very difficult. This is particularly true when the world seems to be saying otherwise. Such is the case of Ted Urban, who served for years as the General Counsel of regional broker Ferris Baker …

WHEN DOING THE RIGHT THING PAYS OFF: THE TED URBAN CASE Read More »

Senator Schumer sent the Commission a letter this week requesting that it review certain trading practices such as high speed trading, quote stuffing and sub-penny pricing. SEC enforcement filed another settled option backdating case along with actions based centered on …

THIS WEEK IN SECURITIES LITIGATION (September 10, 2010) Read More »