Baltimore-based Ferris, Baker Watts nearing settlement agreement
Daily Record, The (Baltimore), Apr 14, 2008
According to published reports, Baltimore investment firm Ferris, Baker Watts Inc., is nearing a $1.2 settlement agreement with the Securities and Exchange Commission. The Baltimore Sun reported that the move by the company, which has been under investigation by the SEC and Department of Justice since February 2007, would open the door to more penalties against other employees both current and former.
Ferris itself is in the midst of being acquired by Minneapolis-based RBC Dain Rauscher, a subsidiary of the Royal Bank of Canada.
Copyright 2008 Dolan Media Newswires
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