Investor News

2015 FINRA Priorities Letter Released

On January 6, 2015, FINRA published its tenth annual Regulatory and Examination Priorities Letter to highlight both emerging...

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...

Investor Blog

Office of Compliance Inspections and Examinations Released Their Latest Risk Alert

The below link is to the OCIE Risk Alert released this week on August 24th. National Exam Program Risk Alert

Citigroup Subject of Massive SEC Settlement Stemming from Fraudulent ASTA/MAT and Falcon Hedge Fund Products – Firm to Pay Nearly $180 Million to Defrauded Investors

On August 17, 2015, The Securities and Exchange Commission announced that two Citigroup affiliates have agreed to pay nearly $180...

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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