Mark Warner said "But are you saying--because I hope you are not saying that if you have somebody in looking at a broker dealer and they thought they were onto something and they thought something smelled bad, and all of a sudden the CEO of the firm said, hold it, you can't go there because that is in our investment advisory part of our business, that even if you were legally precluded from going on, that you wouldn't come back and either relay that information to the SEC or someone." @ PoliticalQuotes.com

On the recordJanuary 26, 2009

But are you saying--because I hope you are not saying that if you have somebody in looking at a broker dealer and they thought they were onto something and they thought something smelled bad, and all of a sudden the CEO of the firm said, hold it, you can't go there because that is in our investment advisory part of our business, that even if you were legally precluded from going on, that you wouldn't come back and either relay that information to the SEC or someone.

Said by

Mark Warner

Democratic · Virginia

Source

congress.gov

Editor's note · Context

Warner questions the ability to investigate potential wrongdoing in investment advisory firms.

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