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: The BLT: The Blog of Legal Times

SEC Judge Finds Investment Bank GC was not Negligent in Supervising Rogue Broker

By Jenna Greene

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The former general counsel of D.C.-Baltimore investment bank Ferris, Baker Watts, Inc. appears to be off the hook after a Securities & Exchange Commission administrative law judge ruled today that he did not fail to reasonably supervise a rogue broker....

Full post as published by The BLT: The Blog of Legal Times on September 08, 2010 (boomark / email).

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