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Investment Firms Under Investigation

Year after year, individual and institutional investors lose billions of dollars at the hands of unscrupulous stockbrokers or because of the unethical actions of negligent investment firms and brokerage firms. Victims can include anyone: Retail investors, retirees, pension funds, small businesses and large corporations.

Since 1991, Maddox Hargett & Caruso, P.C. has represented the interests of individuals and entities in cases involving financial losses due to investment fraud, stockbroker misconduct or professional negligence. In addition to these cases, we are conducting special investigations against the firms listed below.

If you are an individual or institutional investor and have concerns or questions about investments related to any of the firms or broker/dealers listed below, contact Mark Maddox. We can evaluate your situation to determine if you have a claim.


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