Investor News

2016 FINRA Priorities Letter Released

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

2017 FINRA Priorities Letter Released

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

Investor Blog

Unsuspecting Investors May Owe Taxes on Their Individual Retirement Accounts (IRAs)

As described in a recent article in The Wall Street Journal (“Are Taxes Lurking in Your Tax-Free Retirement Account”), many...

Steven B. Caruso Selected to Speak at 2017 New York City Bar Association Arbitration Program

Steven B. Caruso, the Resident Partner in the New York City office of Maddox Hargett & Caruso, P.C., has been invited to participate...

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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