Failure to supervise

You may be familiar with Ted Urban's story (IA Watch, April 1, 2013) but may never have heard of Matthew Collins. His case is on ...

Again last week the issue of the dearth in exams of investment advisory firms came up, with SEC Commissioner Elisse Walter calling for a solution ...

Lessons learned continue to come out of Ted Urban's story, the former general counsel at Ferris Baker Watts in Baltimore who faced being declared a ...

It's not just FINRA and the SEC targeting sales practices involving non-traded REITs. States can get in on the action, too, as shown by a ...

With continuing talk about CCO liability as supervisors (IA Watch, Oct. 29, 2012), it seemed appropriate to follow-up on a civil fraud case that named ...

There's a growing recognition that compliance officers crave guidance from the SEC following the Ted Urban case so as to reduce fears that they may ...

This is a template for a supervision policy courtesy of Nancy Lininger of The Consortium in Camarillo, Calif. This can be helpful to firms after ...

Whether it's a myth or not that compliance officers are at greater risk of facing a failure-to-supervise charge, there are steps you can take to ...

That 1-1 Commission vote a few weeks ago dismissing the failure-to-supervise case against Ted Urban, the former general counsel at Ferris Baker Watts in Baltimore ...

The sudden dismissal of the Commission's case against Ted Urban, the former general counsel at Ferris Baker Watts in Baltimore, surprised even the defendant, came ...