Investor News

2016 FINRA Regulatory and Examination Priorities Letter Released

Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA’s...

2015 FINRA Priorities Letter Released

On January 6, 2015, FINRA published its tenth annual Regulatory and Examination Priorities Letter to highlight both emerging...

Investor Blog

Merrill Lynch Market-Linked Notes: Investor Beware?

Merrill Lynch underwrites, manages and markets the sale of Market-Linked Notes issued by its parent company, Bank of America Corporation,...

SEC Places Merrill Lynch in its Crosshairs over Sales of Structured Notes

A recent article in The Wall Street Journal (“SEC Readies Case Against Merrill Lynch Over Notes That Lost 95%”) stated that...

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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