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
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
FINRA Arbitration filed against Kari Marlin Bracy and NYLife Securities, LLC
In July 2018, one of our clients filed a FINRA arbitration against Jacksonville Beach-based financial advisor Kari Bracy and her...
SEC CHARGES TAMMIE STEELE and STEELE FINANCIAL, INC.
On Friday, September 14, 2018 the Securities and Exchange Commission charged an Indianapolis-based investment advisory firm and...
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.