Investor News

2016 FINRA Priorities Letter Released

Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA’s...

2017 FINRA Priorities Letter Released

Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA’s...

Investor Blog

Lafayette, IN based Bison Financial Group Forced Out By Wells Fargo

A large group of stockbrokers previously with Wells Fargo were “permitted to resign” because of annuity sales practices, according...

RBC Wealth Management (RBC) Pays Huge $3.5 Million Settlement

In April of 2017, RBC settled a case involving Indianapolis broker James Wilson for $3.5 Million. The investors alleged that Wilson...

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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