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Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA’s...
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Testifying Before Congress
Representing Individual, High Net Worth & Institutional Investors
Office in Indiana
317.598.2040
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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
In an SEC lawsuit, former Morgan Stanley adviser Shawn E. Good is accused of running a “Ponzi scheme.”
Federal securities regulators have sued a former Morgan Stanley adviser for using client funds to pay for personal costs such...
FINRA BARS NYLIFE STOCKBROKER IN FORGERY INVESTIGATION
In a forgery investigation, FINRA has barred a stockbroker from NYLife. Kyle Zachary Wittgren, a stockbroker formerly registered...
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.