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
Federal Prosecutors Target Wells Fargo
An article this week in The Wall Street Journal (“Federal Prosecutors Investigating Wells Fargo Over Sales Tactics”) stated...
FINRA Targets Business Development Companies (BDCs)
The Financial Industry Regulatory Authority (“FINRA”) has launched an examination sweep of non-traded business development...
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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