212.970.TIPS 212.970.8477
Get in touch Now
DiCello Levitt Expands Whistleblower Practice With Preeminent SEC Whistleblower Team
SEC Prosecutions

SEC Prosecutions

Censure, Sanctions and Cease-and-Desist Order In Failure to Supervise Case

In the Matter of Ferris, Baker Watts, Inc., Respondent

  • 2009
  • $800,656

The SEC found that respondent, a broker-dealer and investment adviser, failed to reasonably supervise a registered representative in its employ who, along with others, conducted a scheme to manipulate the market for the stock of Innotrac Corp. (among other infractions).

Key Docs

SEC Whistleblower Program

Resources

Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal, NPR, and The New Yorker