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

FINRA Targets Business Development Companies (BDCs)

The Financial Industry Regulatory Authority (“FINRA”) has launched an examination sweep of non-traded business development...

Merrill Lynch Market-Linked Notes: Investor Beware?

Merrill Lynch underwrites, manages and markets the sale of Market-Linked Notes issued by its parent company, Bank of America Corporation,...

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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