The Sad Case of Mark Spangler
The ex-NAPFA chairman, sentenced to 16 years in prison, is not the Spangler I know, but there's a lesson to be learned from his actions.
Former NAPFA Chairman Mark Spangler Sentenced to 16 Years in Prison
Spangler was convicted of fraud and money laundering; the long sentence reflects his lack of remorse, the judge reportedly said.
Ron Rhoades’ Exit From NAPFA Shocks Fee-Based Advisor World
In a self-punishing mea culpa, Rhoades said he was stepping down from the NAPFA chairmanship after discovering that he had committed a violation as chief compliance officer of his firm.
Going for Gold: Rep. Bachus Wins the Prize for Fuzzy Thinking on RIA SRO
Congressman Bachus’ WSJ piece on the benefits of an SRO for advisors sets what might be a world record for faulty assumptions, wrong conclusions and inaccuracies.
Rep. Bachus Tells Advisors to Police Themselves
Federal regulators “whose job is to enforce the law and protect investors from bad actors, often had no clue."
The SEC Sure Isn’t Describing the Mark Spangler I Know
A cautionary tale or a rush to judgment? Why I'm giving the benefit of the doubt to the former NAPFA chairman.
SEC Charges Former NAPFA Chairman in $47M Fraud
The SEC charged Mark Spangler, a former chairman of NAPFA, with defrauding clients by secretly investing their money in two risky startup companies he co-founded.
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