Current Investigations
Serving as a ‘Fiduciary’ for an Older Adult
(On Jan. 23, from 1-2 p.m. EST, Mark Maddox of Maddox Hargett & Caruso P.C. will be a featured guest on NPR/WFYI’s No...
FINRA Says National Planning Corp. Liable for $6.2M Arbitration Award
A top independent broker/dealer has been ordered to pay a $6.2 million arbitration award to two Minnesota investors in a claim...
Investor Blog
For Some BDs, Non-Traded REIT Sales Mean Huge Payday
Non-traded real estate investment trusts (REITs) are proving to be a cash bonanza for some independent broker/dealers in 2013,...
Investors Begin Filing Claims Against UBS Puerto Rico Brokers
Legal problems tied to UBS Financial Services of Puerto Rico and, specifically, to sales of a group of troubled closed-end municipal...
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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