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

SEC Charges Credit Suisse Securities (USA) and Former IA Representative Sanford Michael Katz with Breaches of Fiduciary Duty and other Securities Law Violations

On April 4, 2017, the U.S. Securities and Exchange Commission announced that Credit Suisse Securities (USA) LLC and one of its...

GIANT GRAY, INC. and BRS LABS

We are investigating investor concerns about various investments made in the securities of Giant Gray, Inc. f/k/a Behavioral Recognition...

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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