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
Attorney Mark Maddox named to FINRA's Arbitration Task Force
We are proud to share that Attorney Mark Maddox will be part of FINRA’s new arbitration task force. Click this link for...
Know the risks of "Liquid-alternative funds" before you invest!
Liquid-alternative funds are increasing rapidly in popularity, with investors pouring $40 billion into them in 2013, according...
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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