Investor News

2016 FINRA Regulatory and Examination Priorities Letter Released

Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA’s...

2015 FINRA Priorities Letter Released

On January 6, 2015, FINRA published its tenth annual Regulatory and Examination Priorities Letter to highlight both emerging...

Investor Blog

MADDOX: Let’s better protect our retirement accounts

Attorney Mark Maddox wrote an article for the Indianapolis Business Journal this past week on the topic of protecting our retirement...

Master Limited Partnerships (MLPs) in Retirement Accounts – Recipe for Disaster?

One of the hottest investment products being pitched by Wall Street, in the low interest environment that has persisted over the...

Investigations

“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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