Investor News
2015 FINRA Priorities Letter Released
On January 6, 2015, FINRA published its tenth annual Regulatory and Examination Priorities Letter to highlight both emerging...
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...
Investor Blog
BILL COULD END MANDATORY ARBITRATION IN BROKERAGE CONTRACTS
Legislation introduced to the House last week could stop brokers and advisers from requiring investors to take claims to arbitration...
UBS V10 Currency Structured Notes Under Investigation by U.S. Justice Department
The U.S. Justice Department is looking into the UBS V10 Enhanced FX Carry Strategy, a product sold to investors such as hedge...
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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