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These Are The 5 Most Prevalent Types of Stock Broker Misconduct

Investment in the stock market carries an inherent level of risk in exchange for the possibility of a better rate of return than with safer investments. However, sometimes losses are not caused by market forces, but by stock brokers behaving unethically or illegally. If your previously healthy portfolio starts underperforming and you cannot figure out […]

July 15, 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


Confirmation of Arbitration Awards

An arbitrator’s failure to make an award within the time limits set out by Florida’s arbitration code does not automatically require dismissal of a motion to confirm the tardy award. In SEIU Florida Public Services Union, CTW, CLC (“FPSU”), v. City of Boynton Beach, on April 18, 2012, the Fourth District Court of Appeal reversed […]

April 18, 2012 , by Walter Mathews

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