FacultyFaculty/Author Profile
Steven B. Caruso

Steven B. Caruso

Maddox Hargett & Caruso, P.C.

New York, NY, USA


Steven B. Caruso, the Resident Partner in the New York City office of Maddox Hargett & Caruso, P.C. (www.investorprotection.com), concentrates his practice on the representation of individual, high net worth and institutional investors in securities arbitration and litigation proceedings.

Mr. Caruso is the Chairman and a public member of the National Arbitration and Mediation Committee (“NAMC”) of the Financial Industry Regulatory Authority (“FINRA”); former Chairman of the Discovery Task Force Committee of FINRA; former member of the Nasdaq OMX BX Arbitration Committee; former member of the Securities Investor Protection Corporation  (SIPC) Modernization Task Force; Director Emeritus and former President of the Public Investors Arbitration Bar Association (“PIABA”); testified before the U.S. House of Representatives, Committee on Financial Services, Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises, in March 2012 and September 2010; and has served as a judge for the Yale University Mock Trial Invitational Tournament and for Invest-Write, the national investment strategy writing competition sponsored by the Securities Industry & Financial Markets Association (SIFMA) Foundation.

Among the publications that Mr. Caruso has authored are Non-Attorney Representatives – Do They Present a Clear & Present Danger to the Integrity of FINRA Arbitration, Association of the Bar of the City of New York, New York, N.Y. (May 2017); Arbitrator Disclosures: Requests for Additional Information, The Neutral Corner, FINRA Dispute Resolution, Vol. No. 4 (December 2016); Ethical Implications of the Phantom Designation of Expert Witnesses in FINRA Securities Arbitration Proceedings, Practising Law Institute, Securities Arbitration (September 2016); Definition of a FINRA Customer: To Be or Not To Be – That Is the Ultimate Question, Practising Law Institute, Securities Arbitration (July 2015); Discovery in FINRA Arbitration, The Neutral Corner, FINRA Dispute Resolution, Vol. No. 2 (2015); FINRA Six-Year Eligibility Rule 12206: The Purchase Date is Often Not the Triggering Occurrence or Event Giving Rise to the Claim, PIABA Bar Journal, Volume 20, No. 1 (September 2013); All Public Arbitrator Panels: A More Level Playing Field, Practising Law Institute, Securities Arbitration (August 2013); Arbitrator Challenges Under the FINRA Code of Arbitration Procedure for Customer Disputes, Practicing Law Institute, Securities Arbitration (August 2010); The Mandatory Industry Arbitrator: An Endangered Species on the Precipice of Extinction, Practising Law Institute, Securities Arbitration (August 2009); Sunshine May be the Best Disinfectant for What Ails Securities Arbitration: A Discussion of the 2008 SICA Empirical Study of Fairness, Practising Law Institute, Securities Arbitration (August 2008); Effective Closing Statements From the Perspective of Counsel for the Customer-Claimant, New York State Bar Association, Securities Arbitration 2007 (November 2007); Essential Principles for Honorable Arbitrators, Practising Law Institute, Securities Arbitration (August 2007); Motions to Dismiss: A Predatory Tactic That Must be Extinguished, Association of the Bar of the City of New York, New York, N.Y. (June 2007); Ethical Standards for Securities Arbitrators: A Statistical Perspective of Potential Partiality (Bias), Practising Law Institute, Securities Arbitration (August 2006); Arbitrator Training in the Securities Dispute Arena, The Review of Securities & Commodities Regulation (January 2005); Discovery Objections Which are Irrelevant, Unduly Burdensome and are Reasonably Calculated to Lead to the Concealment of Admissible Evidence, New York State Bar Association, Securities Arbitration 2004 (October 2004); Model Arbitrator Instructions: Luxury or Emerging Necessity, Practising Law Institute, Securities Arbitration (August 2004); Ethical Considerations in Settlement Agreements, Association of the Bar of the City of New York, New York, N.Y. (June 2004); Examination of the Adverse Broker: Unimpeachable Questions with an Internet Twist, Practising Law Institute, Securities Arbitration (August 2001); On-Line Trading: The New Frontier, Practising Law Institute, Securities Arbitration (July 1999); and NASD Arbitration Discovery Procedures : Knowing Your Customer From the Securities Professional Perspective, American Bar Association, Section of Litigation, Committee on Securities Litigation (August 1995).

Steven B. Caruso is associated with the following items:
CHB Chapters  CHB Chapters Appendix 1: Survey of FINRA Dispute Resolution Arbitration Awards Expungement Requests in Public Customer Awards—Review Period: January 1, 2013 to June 30, 2017 - Securities Arbitration 2017, Thursday, September 28, 2017
Appendix 2: Survey of FINRA Dispute Resolution Arbitration Awards Expungement Requests in Public Customer Awards, Post-Settlement Awards—Review Period: January 1, 2013 to June 30, 2017 - Securities Arbitration 2017, Thursday, September 28, 2017
Post-Settlement Expungements: An Investor Protection Problem That Continues to Wait for a FINRA Solution - Securities Arbitration 2017, Thursday, September 28, 2017
Web Segment  Web Segment Recent and Upcoming Developments in FINRA Arbitration and Mediation - Securities Arbitration 2018, Wednesday, September 26, 2018
MP3 Audio  MP3 Audio Recent and Upcoming Developments in FINRA Arbitration and Mediation - Recent and Upcoming Developments in FINRA Arbitration and Mediation, Wednesday, September 26, 2018
Transcripts  Transcripts Recent and Upcoming Developments in FINRA Arbitration and Mediation - Recent and Upcoming Developments in FINRA Arbitration and Mediation, Wednesday, September 26, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Recent and Upcoming Developments in FINRA Arbitration and Mediation - Recent and Upcoming Developments in FINRA Arbitration and Mediation, Wednesday, September 26, 2018
On-Demand Web Programs  On-Demand Web Programs Securities Arbitration 2018, Wednesday, October 03, 2018, New York, NY
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