Current Investigations
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...
SEC’s Examination Priorities for 2014
Many of the items found on the Securities and Exchange Commission’s annual list of examination priorities for the new year echo...
Investor Blog
Broker Background
A Wall Street Journal article recently highlighted the significant problem of stock brokers omitting bankruptcies, unpaid debts,...
Stockbrokers Dishonesty about Potential Red Flags
A Wall Street Journal analysis shows more than 1,600 stockbrokers have bankruptcies or criminal charges in their past that weren’t...
Investor News
“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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