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Articles tagged "Spencer Bachus"


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Spencer Bachus: The important thing is to have a better system to stop potential fraud.
July 21, 2014 at 3:40 AM

In a deal that rocked the RIA world, David Hou (pictured) and Mark Sear sold Luminous for a staggering $125 million in cash to a San Francisco bank.

10 most influential RIA figures going into 2013 and how they're reshaping the industry, Part 1

2012 was a year of drama as sweeping deals of unexpected size were struck and the industry took to the Hill to fight against FINRA overlords

March 8, 2013 at 4:58 PM

Skip Schweiss: I feel like democracy worked the way it is supposed to work and that should be encouraging to all advisors.

How RIA forces squashed the Bachus bill by calling the implicit FINRA bluff

Faced with the threat of more SEC exams and higher fees to pay for them, RIA leaders said in effect: Bring it on

August 2, 2012 at 3:59 PM

Marilyn Mohrman-Gillis: The organization that appears to be pulling numbers out of thin air is FINRA.

FINRA comes up with cost projections for its SRO and the CFP Board blasts them

FINRA is still angry that Boston Consulting Group did not consult them and says they created numbers "out of thin air"

May 14, 2012 at 3:59 AM

Neil Hokanson: FINRA ... behaves like a background shadow organization from a bygone era.

A big California RIA fires off a letter to Rep. Bachus decrying FINRA as SRO pick

Neil Hokanson offers a boots-on-the-ground perspective about why changes brewing in Washington are bad for consumers and advisors alike

May 2, 2012 at 2:20 PM

Karen Nystrom: This proposed bill is a big deal to advisors...We hold out hope that our message will be heard.

Avoiding FINRA oversight may depend on talking sense to an options-trading House Republican

Spencer Bachus, known to expertly trade options for his own account, seems to be down with what transactions-based advisors like

April 26, 2012 at 5:37 AM

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