Current Investigations
FINRA Says National Planning Corp. Liable for $6.2M Arbitration Award
A top independent broker/dealer has been ordered to pay a $6.2 million arbitration award to two Minnesota investors in a claim...
UBS, Puerto Rico Bonds & Elderly Investors
The question on many investors’ minds these days is why advisers with UBS Financial Services of Puerto Rico recommended municipal...
Investor Blog
Update: UBS, Puerto Rico Muni Bonds
A unit of UBS AG has offered to repurchase shares of closed-end municipal bond funds invested in Puerto Rico muni securities...
Broker Who Worked for Firm Caught in Alleged Promissory Note Scam Barred by FINRA
For many investors, promissory notes tend to conjure memories of recent deals gone bad, especially those associated with Medical...
Investor News
“The SIPC Task Force should ensure its role in the protection of investors.”
Steven Caruso, March 2012
Testifying Before Congress
Distinguished Service Award
Mark Maddox has received the “Distinguished Service Award” from the Public Investors Arbitration Bar Association (PIABA) for his “outstanding long-term and sustained service to promote the interests of public investors” in matters involving securities and commodities arbitration.
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