Tag: failure to supervise

Former Farris Baker Watts General Counsel Ted Urban finally prevailed in his long running battle with the SEC to clear his name and reputation. The Commission, on an evenly divided vote, affirmed the initial decision of the Administrative Law Judge, …

THIS WEEK IN SECURITIES LITIGATION (Week ending February 3, 2012) Read More »

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In recent enforcement cases the SEC obtained split results in an insider trading case, losing against one defendant but prevailing as to another. The court however then refused to impose an injunction against the defendant found liable but did order …

THIS WEEK IN SECURITIES LITIGATION (November 25, 2011) Read More »

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