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
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 Giberson, LLP, to […]
January 16, 2013 , by Walter Mathews
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 […]
December 12, 2012 , by Walter Mathews
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 […]
December 3, 2012 , by Walter Mathews