Investor News

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

Merrill Lynch Fined $1.9M and Ordered to Pay $540k Restitution by FINRA

FINRA has fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $1.9 million for fair pricing and supervisory violations...

10 Wall Street Banks in Trouble for Offering Encouraging Research to Win IPO

Citigroup Inc., Goldman Sachs Group Inc. and eight other securities firms were fined $43.5 million by FINRA who said the companies...

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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