2016 FINRA Priorities Letter Released
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA’s...
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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
FINRA Orders Wells Fargo to Pay $3.4 Million of Restitution to Customers for Unsuitable Recommendations of Volatility-Linked Exchange-Traded Products (ETPs) and Related Supervisory Failures
On October 16, 2017, the Financial Industry Regulatory Authority, Inc. (“FINRA”) announced that it had ordered Wells Fargo...
Massachusetts Securities Regulator Targets SII Investments with Enforcement Action
On September 20, 2017, the Enforcement Section of the Massachusetts Securities Division filed a massive complaint against SII...
Investigations
Steven Caruso, March 2012“The SIPC Task Force should ensure its role in the protection of investors.”
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.