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Maddox Hargett & Caruso, P.C. is an “AV” rated law firm, representing individual and institutional investors from around the world in securities arbitration and securities litigation proceedings. Our experienced lawyers understand the complexities of securities law and have recovered tens of millions of dollars for investors through FINRA arbitrations, independent settlements, mediations and State and Federal court litigation.
Since 1991, Maddox Hargett & Caruso, P.C. has recovered investment losses for thousands of investors. We aggressively pursue claims of fraud, violations of State and Federal securities laws, stockbroker misconduct, misrepresentation of financial products, and stockbroker negligence.
Investor News
FINRA Arbitration Claims Skyrocket
Institutional and individual investors are coming forth with claims of securities fraud, omission of facts and breach of fiduciary duty, negligence, churning, misrepresentation and other charges involving securities fraud against brokerage firms and individual stockbrokers alike.
Investor Blog
Investor Wins FINRA Award In Schwab YieldPlus Claim
On June 26, 2009, a Washington, D.C., arbitration panel of the Financial Industry Regulatory Authority (FINRA) ruled in favor of investor David Cutler and his claim (FINRA No. 09-00300) against Charles Schwab & Company and its Schwab YieldPlus Fund. The panel awarded Cutler $11,400. Cutler's complaint against San Francisco-based Charles Schwab is ...
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