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

WHITE HOUSE TAKING NOTICE OF FINACIAL ADVISORS COSTING WORKERS BILLIONS IN RETIREMENT SAVINGS

A top economic adviser under President Obama is calling for stricter rules on Wall Street after finding some bad broker practices...

WHAT HAPPENS WHEN YOUR BROKERS AGE CATCHES UP WITH THEM?

Just like an average person who ages, an older financial adviser is more likely to show signs of aging. Red flags that a financial...

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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