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

Massachusetts Fines $2.5M for Supervision Violations to Merrill Lynch

William Galvin, Secretary of the Commonwealth of Massachusetts has fined Merrill Lynch $2.5 million for supervisory violations...

Miguel Mattei Zapata Hit with $500K Clawback, $6M in Client Complaints

A former UBS and Wells Fargo advisor, Zapata has been ordered by FINRA to reimburse $500,000 to his ex-employer Wells Fargo for...

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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