2018 FINRA Priorities Letter
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA’s...
Menu
Representing Individual, High Net Worth & Institutional Investors
Offices in Indiana and New York City
317.598.2040
212.837.7908
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
UBS’ Yield Enhancement Strategy (“YES”) Exposed as Having Caused Massive Losses
On August 23, 2019, an extensive article in The Wall Street Journal (“UBS Faces Client Backlash over Options Strategy”), exposed...
Leveraged Loan Investments May be Living on Borrowed Time
As reported by Bloomberg on July 16, 2019, a $693 million loan that Clover Technologies took to the market just 5 years ago recently...
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.