Investor News

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...

SEC’s Examination Priorities for 2014

Many of the items found on the Securities and Exchange Commission’s annual list of examination priorities for the new year echo...

Investor Blog

2013 Annual Report to Congress on the Dodd-Frank Whistleblower Program Released

Maddox Hargett & Caruso is currently assisting whistleblowers. If you believe your company might be participating in securities...

Apparent theft of $1 million in office supplies leads to Ex-Schwab Broker

Starting in February of this year and lasting an additional 7 months, Jeffrey Brian Grove, a FINRA permanently barred former Charles...

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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