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Professional Background


During more than 30 years as a government attorney, law firm partner, senior vice president of a major financial services corporation and ADR professional, Mr. Mathews has represented parties in a broad range of corporate and securities matters.  He has also resolved hundreds of complex disputes in areas such as finance and banking, commercial transactions, securities, corporate governance, insurance, trusts, healthcare, and employment.

Effective Dispute Resolution, LLC, Philadelphia, PA – Attorney and President (March 2004-to date)

  • Commercial mediation, arbitration and other dispute resolution. Public arbitrator and mediator, FINRA. Judge Pro Tem, Commerce Program, Court of Common Pleas, Philadelphia. Certified Mediator to the Maryland Business and Technology Court Program and for the Circuit Courts of Anne Arundel, Cecil, and other Maryland counties. Hearing Officer, Philadelphia Stock Exchange (2006-2008). Legal representation of businesses, including Freedom Medical, Inc., a medical equipment leasing company located in Exton, PA.

Wachovia Corporation, Philadelphia, PA – Senior Vice President and Assistant General Counsel (1994-March, 2004)

  • Managed a wide range of litigation including claims for negligence, breach of fiduciary duty, breach of contract, misrepresentation, conversion, ERISA and securities law violations arising from Personal and Corporate Trusts, Wealth Management, Corporate and Investment Banking and other business lines. Extensive experience supervising cases in federal and state court in Pennsylvania, other eastern states and the United Kingdom. Prior to its merger with First Union Corporation in May 1998, served as CoreStates Financial Corp’s Lead Counsel for Litigation, managing all litigation and over $20 million in outside legal expense.Served as Senior Counsel for Meridian Bancorp, managing litigation and counseling selected business functions including HR, securities and general corporate.Served as counsel, with Milbank Tweed, for $350 million outsourcing of information technology function to Andersen Consulting.

Hoyle, Morris & Kerr, Philadelphia, PA – Partner (1990) (1987-1994)

  • Headed the firm’s securities law practice, involving various securities transactions, Securities Exchange Act reporting by companies and insiders and compliance counseling for investment advisers. Handled a variety of corporate transactions, including business joint ventures, acquisition of controlling interest in a public company and organization of a partnership to acquire the New York Times cable systems in New Jersey.Defended corporate officers and directors in securities litigation and SEC investigations. Represented insureds in insurance coverage disputes.

Pechner, Dorfman, Wolffe, Rounick & Cabot, Philadelphia, Pa (1985-1987)

  • Extensive experience representing companies, such as PECO Energy, the Deb Shops and First Peoples Financial Corp, in public offerings and SEC reporting.Represented the bidder in two successful hostile tender offers to acquire small banking organizations.Represented parties in securities suits, arbitrations and SEC investigations.

Baskin & Sears, Washington, DC (1982-1985)

  • Represented underwriters and issuers in Reg D and other exempt offerings of securities. Negotiated underwriting for an IPO and prepared Securities Exchange Act reports.Coordinated the firm’s work as general counsel for long-distance telephone company, including review and preparation of joint venture agreements, equipment leases and software development contracts.

Securities and Exchange Commission, Division of Corporation Finance, Washington, DC – Special Counsel (1978-1982)

  • Processed registration statements and Exchange Act reports in an Examinations Branch. Appointed to the Commission’s Task Force on Corporate Accountability which conducted a broad reexamination of rules related to corporate governance and prepared the Staff Report on Corporate Accountability (1980). Managed six rulemaking proceedings including proxy rule changes and revisions of rules as part of the Integrated Disclosure Program harmonizing disclosure requirements under the Securities Act and Securities Exchange Act. Served as counsel to the Advisory Committee on Shareholder Communications.

Education and Training

J. D., Antioch College, School of Law
M. A., State University of New York (Communications)
B. A., University of Florida (Political Science)
Certified Mediator Training, Straus Institute for Dispute Resolution, Pepperdine University School of Law (2004)

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