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Representing Individual, High Net Worth & Institutional Investors

Offices in Indiana and New York City


Investor News

2018 FINRA Priorities Letter

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

Investor Blog


“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.