Stephen Lee Fincher: “I do applaud the sponsors of H.R. 4624 for putting forward a thoughtful approach to improving investment adviser…”

This is the banking industry. Actually, it exists based on trust.

It is really proof positive that whatever the OCC has done is not adequate to make you realize the level of your offenses here.

I do agree that the greatest danger here is leaving the small investor without advice.

I am pleased that we are holding this timely hearing to examine what can be done to combat terrorist financing in the developing world.