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Nov 2, 2009 · The US Securities and Exchange Commission says it will investigate allegations that former Ferris, Baker Watts Inc. general counsel Theodore W. Urban did not properly supervise Stephen Glantz.
Apr 12, 2012 · Urban was the general counsel at Ferris Baker & Watts in 2009, and was prosecuted by the SEC for failing to reasonably supervise FBW broker, Stephen Glantz, to detect or prevent Glantz’s violations of the anti-fraud provisions of the federal securities laws.
Mar 31, 2012 · The OIP alleged that an FBW registered representative, Stephen Glantz, had violated anti-fraud provisions of the federal securities laws, 1 and that Urban, as Glantz’s supervisor, had failed to reasonably supervise Glantz within the meaning of Section 15(b) of the Securities Exchange Act of 1934.
Glantzlaw is a multi-practice law firm. We offer families and individuals in South Florida a wide variety of legal services with an eye toward protection and planning for the future. 1-954-424-1200 | 1-800-654-1945
Associate Attorney at Glantzlaw. Glantzlaw | 315 followers on LinkedIn. Glantzlaw is a full-service, one-stop law firm that incorporates more than 25 practice areas so that we can serve our...
Sep 24, 2024 · Opening hours, contacts and 1 review for Glantz Law Office at 4883 Dressler Rd NW, Canton, OH. View nearby places on a map. Leave a review.
Please call 310-444-0000. Overview. Practice Area Rankings. Write a Review. Photos. About Glantzlaw. Since 1986, Glantz & Glantz, P.A., has provided a full spectrum of legal services designed to protect, maximize, and relentlessly pursue your right to due process and justice in the courtroom.
