Investment Advisor Oxford Financial Group, Ltd. Liable to Reid Hospital for $2.2 Million in Damages for Failing to Execute Trades in a Timely Manner, According to Maddox Hargett & Caruso, P.C.
July 22, 2013 11:35 ET
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Maddox Hargett & Caruso
FISHERS, Ind., July 22, 2013 (GLOBE NEWSWIRE) -- An Indianapolis-based American Arbitration Association (AAA) arbitration panel has ordered Oxford Financial Group, Ltd. to pay damages of more than...
FINRA Finds Wells Fargo Advisors and E*Trade Securities Liable for Spousal Theft From Brokerage Account, Reports Maddox Hargett & Caruso P.C.
March 27, 2013 09:30 ET
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Maddox Hargett & Caruso
FISHERS, Ind., March 27, 2013 (GLOBE NEWSWIRE) -- The securities arbitration law firm of Maddox Hargett & Caruso, P.C. announced today that an Indianapolis, Indiana, arbitration panel of the...
Notice to LPL Financial, LLC Customers: Maddox Hargett & Caruso, P.C. Launches Investigation Into Non-Traded REIT Recommendations of LPL Financial
January 03, 2013 08:19 ET
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Maddox Hargett & Caruso
NEW YORK, Jan. 3, 2013 (GLOBE NEWSWIRE) -- Maddox Hargett & Caruso, P.C. announces the initiation of an investigation into the sales practices of LPL Financial, LLC in connection with its...
Citigroup Global Markets, Inc. Found Liable for Sale of Rochester Municipals Fund According to Maddox Hargett & Caruso, P.C. - C
September 12, 2012 08:52 ET
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Maddox Hargett & Caruso
NEW YORK, Sept. 12, 2012 (GLOBE NEWSWIRE) -- A New York City based Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Citigroup Global Markets, Inc. to pay compensatory...
Maddox Hargett & Caruso, P.C. Launches Investigation Into Behringer Harvard Strategic Opportunity Fund I
September 05, 2012 09:00 ET
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Maddox Hargett & Caruso
NEW YORK, Sept. 5, 2012 (GLOBE NEWSWIRE) -- The securities arbitration law firm of Maddox Hargett & Caruso, P.C. (InvestorProtection.com) announced today that it has commenced an investigation of...
Citigroup Global Markets, Inc. Again Found Liable for Sale of MAT-ASTA Five Municipal Arbitrage Fund According to Maddox Hargett & Caruso, P.C. -- C
November 22, 2011 09:00 ET
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Maddox Hargett & Caruso
NEW YORK, Nov. 22, 2011 (GLOBE NEWSWIRE) -- A Newark, New Jersey based Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Citigroup Global Markets, Inc. to pay damages of...
FINRA Finds Citigroup Global Markets Liable for $54 Million to Investors Over MAT/ASAT Fund, Reports Maddox Hargett & Caruso, P.C.
April 14, 2011 08:00 ET
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Maddox Hargett & Caruso
NEW YORK, April 14, 2011 (GLOBE NEWSWIRE) -- A Denver, Colorado, arbitration panel of the Financial Industry Regulatory Authority (FINRA) has awarded $54 million to investors in their case against...
Maddox Hargett & Caruso, P.C.: Citigroup Global Markets, Inc. Found Liable for More Than $1 Million in Connection With the Improper Sale of Its MAT 3 and MAT 5 Municipal Arbitrage Fund to Investors -- C
August 26, 2010 08:00 ET
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Maddox Hargett & Caruso
NEW YORK, Aug. 26, 2010 (GLOBE NEWSWIRE) -- A Financial Industry Regulatory Authority (FINRA) arbitration panel based in Los Angeles, has awarded more than $1 million in damages, plus interest, to...
Maddox Hargett & Caruso, P.C.: Citigroup Global Markets, Inc. Found Liable for More Than $550,000 in Connection With the Improper Sale of Its MAT 3 Municipal Arbitrage Fund to Investors -- C
June 01, 2010 09:00 ET
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Maddox Hargett & Caruso
NEW YORK, June 1, 2010 (GLOBE NEWSWIRE) -- A Financial Industry Regulatory Authority (FINRA) arbitration panel, based in Los Angeles, has awarded more than $550,000 in damages to investors represented...
Maddox, Hargett & Caruso, P.C.: Citigroup Global Markets, Inc. Found Liable for More Than $1.7 Million in Connection With the Improper Sale of Its MAT 5 Municipal Arbitrage Fund to Investors
May 13, 2010 09:00 ET
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Maddox Hargett & Caruso
NEW YORK, May 13, 2010 (GLOBE NEWSWIRE) -- A Financial Industry Regulatory Authority (FINRA) arbitration panel, based in Los Angeles, has awarded more than $1.7 million to investors represented by the...