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
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
Protection of Senior Investors to be a Regulatory Priority in 2019
On January 22, 2019, FINRA released its “2019 Risk Monitoring and Examination Priorities Letter” which identifies topics that...
FINRA Will Focus on Suitability of Investment Recommendations in 2019
On January 22, 2019, FINRA released its “2019 Risk Monitoring and Examination Priorities Letter” which identifies topics that...
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.