Barbara Roper Quotes
If you look at the infraction records, oftentimes it's the same firms that are getting caught, a sign that the executives are condoning bad behavior. The tone is set from the top, and it doesn't cost anything to change that. 
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Infraction | Records | Oftentimes | Firms | Caught |
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Ultimately you can't get around the fact that forty percent of states are not inspecting advisors at all?and only thirty-six percent are inspecting them enough to form an effective deterrent.
- Barbara Roper
