2016 FINRA Priorities Letter Released
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
2017 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
FBI Investigating Former Boston Morgan Stanley Broker James Polese
According to AdvisorHub, the Federal Bureau of Investigation has interviewed at least one client of James Polese, a Boston-area...
Lafayette, IN based Bison Financial Group Forced Out By Wells Fargo
A large group of stockbrokers previously with Wells Fargo were “permitted to resign” because of annuity sales practices, according...
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.