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, Wednesday, September 27, 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, Wednesday, September 27, 2017
Post-Settlement Expungements: An Investor Protection Problem That Continues to Wait for a FINRA Solution - Securities Arbitration 2017, Wednesday, September 27, 2017
Web Segment  Web Segment Recent and Upcoming Developments in FINRA Arbitration and Mediation - Securities Arbitration 2017, Thursday, September 28, 2017
MP3 Audio  MP3 Audio Recent and Upcoming Developments in FINRA Arbitration and Mediation - Recent and Upcoming Developments in FINRA Arbitration and Mediation, Thursday, September 28, 2017
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, Thursday, September 28, 2017
On-Demand Web Programs  On-Demand Web Programs Securities Arbitration 2017, Wednesday, October 04, 2017, New York, NY
Live Seminar  Live Seminar Securities Arbitration 2018, Wednesday, September 26, 2018, New York, NY
Live Webcast  Live Webcast Securities Arbitration 2018, Wednesday, September 26, 2018, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Securities Arbitration 2018, Wednesday, September 26, 2018, New Brunswick , NJ
Securities Arbitration 2018, Wednesday, September 26, 2018, Nashville, TN
Securities Arbitration 2018, Wednesday, September 26, 2018, Boston, MA
Securities Arbitration 2018, Wednesday, September 26, 2018, Cleveland, OH
Securities Arbitration 2018, Wednesday, September 26, 2018, Indianapolis, IN
Securities Arbitration 2018, Wednesday, September 26, 2018, Atlanta, GA
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