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  • Mark E. Maddox
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• Investment Losses
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  • Investment Loss Myths
  • Topics To Explore
    • How to Make Sense of Acronyms for Financial Advisors
    • Is My Money Being Handled Badly?
    • Can I Try To Get My Money Back?
    • How to Tell a Good Broker from a Bad One
    • How To Interview Financial Advisors
  • Links & Resources
  • Perspectives
    • Real Life Stories – Midwestern Doctor, Wife Recover Lost Retirement Funds
    • Real Life Stories – The Broker Who Broke Down
    • Real Life Stories – An Investment Advisor Speaks Up For Injured Investors

• Stockbroker Misconduct
  • Common Stockbroker Misconduct
  • Stockbroker Fraud Investigation
    • Christopher Bass, former employer: Swiss Capital Harbor
    • David McFadden, former employer: Securities America
    • Dermot A. Graham, former employer: PFS Investments
    • Eric Butler, former employer: Credit Suisse Group
    • Harold. H. Jaschke, former employer: First Allied Securities
    • Jeremy McGilvrey, former employer: Next Financial Group
    • Julius Everett “Bud” Johnson, Virginia insurance agent
    • Kapil Shashikant Shah, former employer: GunnAllen Financial
    • Kelvin Koma, former employer: JP Morgan Chase
    • Ken Lewis, former employer: Bank of America
    • Kevin O’Brien, former employer: Robert W. Baird & Company
    • Mark Islas, former employer: Woodbury Financial
    • Mark Salyer, former employer: MetLife Securities
    • Martin T. Wegener, former employer: New England Securities
    • Mayra Jeanette Angulo, former employer: Woodbury Financial
    • Oren Eugene Sullivan, former employer: New York Life
    • Robyn Lynn O’Hara, former employer: WFG Investments
    • Rhonda Breard, owner of: Breard & Associates and Wealth Management
    • Ronald Dwayne James, former employer: TD Ameritrade
    • Thomas J. O’Neill, former employer: Piper Jaffray
    • Timothy Shively, former employer: Next Financial
    • Walter Ray Reinhardt, Virginia insurance agent
    • William J. Gray, former employer: AXA Advisors LLC
    • William Harrison and Eddie Sawyers, former employer: Wachovia
  • Ponzi Schemes
  • Stockbroker Fraud
  • Stockbroker Negligence
  • Stockbroker Misrepresentation
  • Overconcentrated Portfolios
  • Unauthorized Trading

• Investment Firms
  • Charles Schwab
  • Edward Jones
  • JPMorgan Chase
  • LPL Financial
  • Medical Capital Holdings
  • Morgan Keegan
  • Morgan Stanley
  • Next Financial
  • OppenheimerFunds
  • Provident Royalties
  • Raymond James Financial
  • Securities America
  • Stifel Financial
  • UBS Wealth Management
  • Wells Fargo Advisors
  • Woodbury Financial Services

• Investment Products
  • Annuities
  • Auction-Rate Securities
  • Bond Funds
  • Collateralized Debt Obligations, CDOs
  • Collateral Mortgage Obligations, CMOs
  • Credit Default Swaps
  • Credit Derivatives
  • Elder Investment Fraud
  • Family Investment Fraud
  • Exchange Traded Funds
  • Interest-Rate Swaps
  • Margin Calls
  • Preferred Stock
    • Fannie Mae Preferred Stock
    • Freddie Mac Preferred Stock
  • Principal Protected Notes
  • Private Placement Offerings (Reg D
    Offerings)
  • Promissory Notes and Investment Certificates
  • REITs
    • Non-traded REITs
  • Reverse Convertibles
  • Structured Investment Vehicles
  • Structured Notes
  • Tenancies-in-Common, TICs
  • Wrap Accounts

• Current Investigations
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  • Maddox Hargett & Caruso, P.C. Wins $54 Million Award For Investors