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

High-Risk and High-Fee Exposure for Public Employees

A recent New York Times article (“Behind Private Equity’s Curtain,” October 18, 2014), has exposed the all too...

Artificial Inflation in Question for an ETF at Bill Gross’s Firm

Pacific Investment Management Company is under SEC investigation for possibly artificially boosting the returns of a popular fund...

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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