2018 FINRA Priorities Letter
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA’s...
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Investor News
2019 FINRA Priorities Letter Released
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA’s...
Investor Blog
Jaime Westenbarger Fired by Securities America, Inc.
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) show Jaime Westenbarger was fired by...
UBS’ Yield Enhancement Strategy (“YES”) Exposed as Having Caused Massive Losses
On August 23, 2019, an extensive article in The Wall Street Journal (“UBS Faces Client Backlash over Options Strategy”), exposed...
Investigations
Steven Caruso, March 2012“The SIPC Task Force should ensure its role in the protection of investors.”
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.