Current Investigations

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...

SEC’s Examination Priorities for 2014

Many of the items found on the Securities and Exchange Commission’s annual list of examination priorities for the new year echo...

Investor Blog

Variable Universal & Indexed Universal Life Insurance Policies

In an April 4, 2014 article in The Wall Street Journal (“The Great Life-Insurance Temptation”), customers are warned that...

SEC Is Probing Dealings by Banks and Companies in Loan Securities

The Securities and Exchange Commission is investigating a Wall Street boom in complicated bond deals. SEC investigators are looking...

Investor News

“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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