Our Web Blog


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 […]

March 20, 2013 , by Walter Mathews


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 […]

March 18, 2013 , by Walter Mathews

Please contact us at 954-463-1929 to discuss your particular needs. We look forward to hearing from you.