Marc Fagel

• 

  SEC, FINRA Enforcement Roundup

  By Marlene Y. Satter, AdvisorOne  |  May 24, 2012

  Broker-dealer Cadaret, Grant fined; alleged $60 million Ponzi scheme targeted; Morgan Stanley in hotseat.

• 

  SEC Charges Former NAPFA Chairman in $47M Fraud

  By Melanie Waddell, AdvisorOne  |  May 18, 2012

  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.

• 

  SEC Fraud Cases: ‘Next Google’ IPO; China Market Manipulation; Florida Ponzi Play

  By James J. Green, AdvisorOne  |  April 12, 2012

  In Silicon Valley, a fake IPO fleeces investors for $7 million, and in Florida, an advisor targeting gays over-promises and under-delivers

• 

  Client Commission Practices and Soft Dollars

  By Les Abromovitz  |  January 1, 2012

  RIAs should always evaluate whether the products and services they receive from broker-dealers are appropriate. The SEC suggested that an RIA’s failure to stay within the scope of the Section 28(e) safe harbor may violate the advisor’s fiduciary duty to clients, so RIAs must evaluate their soft dollar relationships on a regular basis to ensure they are disclosed properly and that they do not negatively impact the best execution of clients’ transactions.

• 

  SEC Charges Advisor With ‘Soft Dollar’ Fraud

  By Melanie Waddell, AdvisorOne  |  September 28, 2011

  The SEC on Wednesday charged a San Francisco-area investment advisor with fraud for lying to clients about how brokerage commission rebates, or 'soft dollars,' were being used and producing phony documents to cover up the fraud during an SEC exam.