Investor News

2015 FINRA Priorities Letter Released

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

Putting a Lid on Ponzi Schemes

Since 2010, the Securities and Exchange Commission (SEC) has brought more than 100 enforcement actions against nearly 200 individuals...

Investor Blog

Attorney Mark Maddox Quoted in IBJ Article

Checkout the article Attorney Mark Maddox was quoted in below. http://www.ibj.com/articles/53113-sec-suit-firm-hid-mounting-losses?utm_source=this-week-in-ibj&utm_medium=newsletter&utm_campaign=2015-05-09

LPL Ordered to Pay 10M in Fines & 1.7M in Restitution

LPL Financial LLC facing 11.7M in sanctions by FINRA for widespread supervisory failures related to complex product sales, trade...

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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