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Mark E. Maddox

Mark Maddox

Mark E. Maddox is the founder of Maddox Hargett & Caruso, P.C. where he concentrates his practice in securities law. Since the firm’s founding in 1991, Mr. Maddox has represented hundreds of investors in legal disputes with stockbrokers and their brokerage firms.

From 1989 to 1991, Mr. Maddox served as the Securities Commissioner for the State of Indiana, eventually becoming the Chairperson of the International Enforcement Committee of the North American Securities Administrators Association. During his tenure as Indiana Securities Commissioner, Mr. Maddox also served on the Indiana Governor’s Initiative on Economic Development Policy Panel.

In 1991, Mr. Maddox left his employment with the State of Indiana and opened a private practice to represent investors in securities arbitration, litigation and regulation. Today the law firm Maddox founded, Maddox Hargett & Caruso, P.C., is one of the country’s largest and most active firms representing aggrieved investors.

In October 2013, Mark Maddox 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.

In addition to his legal practice, Mr. Maddox continues to work vigorously on consumers’ behalf in the public arena. He served as president of the Public Investors Arbitration Bar Association (PIABA) in 1998 and 2000 and on PIABA’s board of directors for eight years from 1994 to 2002. Mr. Maddox remains active in PIABA and has also served on the NASD National Arbitration and Mediation Committee (NAMC) from 1996 through 1998 and again from 2002 through 2005. In 2004-2005, Mr. Maddox became the first member of the investor bar to be appointed Chairman of the NAMC.

Mr. Maddox is a member of the Non-Public Arbitration Panel of the Financial Industry Regulatory Association. In addition, he is a member of the Indianapolis Bar Association and the Indiana State Bar Association. Mr. Maddox was selected by his peers as an Indiana Super Lawyer from 2002 – 2012.

Over the years, Mr. Maddox has been a frequent lecturer for Continuing Legal Education on Securities Law, as well as an avid speaker at securities-related seminars. He is currently part of FINRA’s new 13 member Arbitration Task Force for the year 2014.


  • B.A. magna cum laude — Wabash College, 1983
  • J.D. — Vanderbilt University School of Law, 1986

Bar Admissions

  • Indiana State Bar, 1986
  • Illinois State Bar, 2000
  • U.S. Supreme Court, 1995


Mr. Maddox is regularly quoted by the local and national media on securities-related issues. These outlets include: The New York Times, The Wall Street Journal, Los Angeles Times, Washington Post, Business Week, Boston Herald, Indianapolis Business Journal, Indianapolis Star, Indianapolis News, USA Today, Securities Week, Newsday, Investment News, Indiana Lawyer, Money Magazine, Registered Representative Magazine, Compliance Reporter, Seattle Times, Chicago Tribune, Dow Jones Newswires, The, SmartMoney and BusinessWeek.

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