Skip to main content

Menu

Representing Individual, High Net Worth & Institutional Investors

Offices in Indiana and New York City

317.598.2040
212.837.7908

FAQs

Answers To Your Most Common Questions

Here are answers to questions we hear most often from investors who visit our site. Just click on the question to see our answer. If you have a question that is not addressed here, use our search function to find that topic elsewhere on the site. Or, send an email now and we will get back to you promptly.

Directory Of Questions
Investor-Broker Disputes

Q: Who are Maddox Hargett & Caruso, P.C.?
A: Maddox Hargett & Caruso, P.C. is a Professional Corporation that helps investors recover money through the arbitration process due to losses from broker misconduct. The firm handles cases on behalf of investors against all brokerage firms in the United States. More information about Maddox Hargett & Caruso, P.C. here.
Q: Why go through an arbitration process?
A: Frequently, the national regulation authorities, the Securities and Exchange Commission (SEC), nor the state securities division is able to help aggrieved investors recover losses. Brokerage firms are required to arbitrate disputes through the securities arbitration process, meaning that any investor who feels mislead or unfairly treated can get an independent party to hear, investigate, and rule on their case. With an arbitration complaint, the broker involved is forced to take notice and respond in a timely manner. If nothing else, the arbitration proceeding puts an end to the delay tactics frequently used by brokerage firms. More information on the arbitration process available here.
Q: Does it matter when I made the investment?
A: Yes. Filing your claim sooner increases your chances of a recovery because information and witnesses are more available. If a case is not filed in a timely manner the broker could potentially gain certain legal defenses that could bar your claim. These defenses are commonly referred to as Statute of Limitations defenses and may be as short as one year. Filing a claim as soon as possible is very important. More information about statutes of limitations available here.
Q: How long does the arbitration process take?
A: It depends on the complexity of the case. A majority of cases are generally decided in 12-18 months. Fortunately, a large number of investors' cases settle prior to a hearing, and that's good news for you.
Q: What fees are involved with the securities arbitration process?
A: There are numerous ways our law firm can be retained, and that is arranged with the client in advance and in writing. Most clients prefer a contingency fee, meaning there are no legal fees unless we help you recover some of your losses. Whatever method is selected, you will have the opportunity to decide what is best for you. There is never a fee for the initial consultation.
Q: Is there a size limit to the case?
A: Yes. Maddox Hargett & Caruso P.C. is open to all investors, however, legal economics dictates that some claims are too small to pursue. As a general rule, an investor would have to have lost a minimum of $75,000 to be represented on a contingency fee basis.
Q: Who works on my case?
A: All cases are handled by an attorney, and in some cases, we may recommend the retention of experts to help prove your case.
Q: How do I get started?
A: Don't delay. The sooner we can start working on your case, the faster the potential recovery time. Contact us by email or call us at 1.800.505.5515

Top of Page