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Maddox Hargett & Caruso, P.C. is an “AV” rated law firm, representing individual and institutional investors from around the world in securities arbitration and securities litigation proceedings. Our experienced lawyers understand the complexities of securities law and have recovered tens of millions of dollars for investors through FINRA arbitrations, independent settlements, mediations and State and Federal court litigation.
Since 1991, Maddox Hargett & Caruso, P.C. has recovered investment losses for thousands of investors. We aggressively pursue claims of fraud, violations of State and Federal securities laws, stockbroker misconduct, misrepresentation of financial products, and stockbroker negligence.
Financial Lobbyists Try To Garner Reform Bill Exemptions
Wall Street couldn't prevent an overhaul of the financial industry, but it's doing all it can to influence how regulatory agencies actually interpret the...
Private-Placement Guide Zeros In On Due Diligence of Broker/Dealers
Following the Medical Capital Holdings debacle and other problematic private-placement deals, the private-placement industry has decided to create a best...
Structured Notes: What You Don't Know Can Deplete Your Investment
Structured notes are booming, with sales reaching $45 billion just this year. Despite their growth, structured notes can be a risky venture for investors,...
Reverse Convertibles Cited In FINRA Fine
Reverse convertible notes were tied to a $500,000 fine levied by the Financial Industry Regulatory Authority (FINRA) against former Ferris, Baker Watts...
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