When Stock Brokerages Engage in Unlawful Conduct
A stock broker buys and sells securities for individual and institutional clients. He or she may trade in securities for retirement funds, and if your company offers retirement investment plans to employees, you depend on your brokerage acting in your best interests. Mathews Wallace, LLP is a stock broker misconduct law firm that isn’t afraid ...
Posted on in Securities Arbitration, by Admin
Probate and Business Lawyers: Your Counsel of Choice in Many Legal Matters
A probate litigation lawyer helps solve disputes over wills and trusts, and guardianship over those legal entities. Probate lawyers are also helpful in matters of power of attorney and living wills. Business litigation lawyers are involved in resolving disputes that arise in the course of business. At Mathews Wallace, LLP we have considerable experience in ...
Posted on in commercial law Probate Litigation, by Admin
Big Business Problems Can Happen to Small Businesses Too
Small businesses are not immune to legal challenges that many people think of as “big business” problems. For example, small brokerages can inadvertently run afoul of regulations of the Securities and Exchange Commission (SEC) and require legal representation. Or a contract dispute that at first appears simple may end up being quite complicated. At Mathews ...
Posted on in Business Litigation, by Admin
Churning is illegal and unethical
Churning is a breach of securities laws. According to the SEC, churning occurs when a broker engages in excessive buying and selling of securities in a customer’s account to generate commissions that benefit the broker. Churning usually occurs in stocks but lately the trend is moving toward mutual funds. Mutual funds are easier to trade ...
Posted on in Securities Litigation, by paperstreet
Business Law Is Rarely Simple: Call a Miami Business Attorney
Even the “simplest” breach of contract case can be time-consuming and complicated. But worldwide internet connectivity is adding new, unforeseen implications to business law, whether it concerns intellectual property, online business reviews, or even social media interaction on sites like Facebook. It’s up to the Miami business attorney, like those at Mathews Wallace, LLP, to ...
Posted on in Business Litigation Litigation, by Admin
What a Miami Business Lawyer Does for Businesses and Individuals
No one can guarantee investment success. In fact, if a financial planner or investment adviser promises unrealistic gains, you should be very wary. However, sometimes investment advice crosses the line, such as when an investment adviser urges clients to buy a stock he or she is actively trying to sell knowing the share price is ...
Posted on in Business Litigation Probate Litigation, by Admin
Molycorp, Inc. Investigated by SEC
On November 9, 2012, Molycorp, Inc. (NYSE: MCP) announced that the U.S. Securities and Exchange Commission requested information from the Company. According to Molycorp’s news release, the SEC’s formal order of investigation seeks information pertaining to, among other things, the accuracy of Molycorp’s public disclosures. According to Molycorp, it is a leading rare earth and ...
Posted on in Securities Litigation, by paperstreet
Mathews Wallace Sponsors Race Car
Mathews Wallace, LLP sponsors a custom engineered race car for Rick Blackburn. The car is competing in the 61st running of the Mobil 1 Six Hours of Sebring on Saturday, March 16th, 2013. This race is America’s oldest and most prestigious sports car endurance race that recently celebrated its 60th anniversary. The car will also ...
Posted on in Uncategorized, by paperstreet
Mathews Wallace LLP Sponsors Inaugural Dinner of Florida SEC Alumni Association
On November 28, 2012, Mathews Wallace, LLP sponsored the inaugural dinner of the Florida SEC Alumni Association. The 16 Founding Members of the Florida SEC Alumni Association include: Mike Arias, Leonard Bloom, Marshall Burack, David Chase, Jeff Cox, Charlie Harper, Mitchell Herr, Walter Mathews,Greg McGowan, Daniel Newman, William Nortman, Ryan O’Quinn, Bob Pearce, Rose Schindler, ...
Posted on in Uncategorized, by paperstreet
Review your Trade Confirmations
A trade confirmation is a written document supplied by your brokerage firm that shows each brokerage transaction executed on behalf of a client in the client’s brokerage account. It is important for clients to look at each trade confirmation because it is the client’s way to verify that the broker has filled an order in ...
Posted on in Securities Litigation, by paperstreet