- 2009
- $66,627
Respondent was associated with Ferris Baker Watts, Inc., a broker-dealer and investment adviser. He was one of the highest level supervisors for Ferris’ retail brokers and had the requisite degree of responsibility, ability or authority. He was found to have failed to reasonably supervise a registered representative who, with others, conducted a scheme to manipulate the market for the stock of Innotrac Corp. (among other infractions).
