In re Theodore W. Urban
Published on:
November 22, 2010
SIFMA has submitted an Amicus “Friend of the Court” Brief
Court:
Securities and Exchange Commission
Amicus Brief Issue:
Whether and under what circumstances the duties and conduct of a General Counsel or other non-line supervisor in a broker-dealer’s legal or compliance department could give rise to a duty to supervise, and what conduct and actions would satisfy such a duty.
Counsel of Record:
Cleary Gottlieb Steen & Hamilton LLP
2000 Pennsylvania Avenue, NW
Washington, DC 20006
Giovanni P. Prezioso
Steven A. Haidar
Cleary Gottlieb Steen & Hamilton LLP
One Liberty Plaza
New York, NY 10006
Breon S. Peace
Lisa M. Coyle
Other Amici on SIFMA’s Brief:
SIFMA Compliance & Legal Society
Association of Corporate Counsel