The conduct of this analyst, as evidenced by his own e-mails, gifts to the CEO of Tyco, and favors he received from the company amounted to a betrayal of objectivity and honesty in research,
More Quotes from Mary Schapiro:
It is certainly a crime with a victim when people who have the right to expect that they are doing business with honorable and reputable people who will be duly licensed find out that they are not.Mary Schapiro
Securities firms that sell variable life insurance products must ensure that they are appropriate for particular investors and that brokers do not mislead their customers about the nature of these products,
Mary Schapiro
This initiative started with our disciplinary action against First Command Financial Planning. We and our partners want to make sure that that sort of thing never happens again. We believe the Military Financial Education Program will move us a long way toward that end.
Mary Schapiro
Brokerage firms and their executives cannot use threats regarding research activities as a way to obtain investment banking business, ... The threat to drop research coverage if Piper were not selected as the lead underwriter for a secondary offering was totally inappropriate and undermines the integrity of the market.
Mary Schapiro
Readers Who Like This Quotation Also Like:
Based on Topics: Betrayal Quotes, Charity QuotesBased on Keywords: amounted, tyco
Fully 57 percent of American college students are women. Life insurance companies sell more policies to women than to men. As women continue to draw on experience and education, they're accelerating their numbers in upper management, too.
Suzanne Fields
It definitely has learning a lesson about the way you're living your life. I wouldn't compare our movie to that, but it has a structure where it's about a man who doesn't appreciate all that he has and finds out at the end that life has been great and he has to enjoy that.
Adam Sandler
My mother is still battling alcoholism.
Patrick J. Kennedy