Tim O'Connor's Blog

The Securities and Exchange decision has updated its Investment Advisor Public Disclosure webpage, affording investors easy access to the disciplinary histories of registered investment advisors and individual investment advisor representatives. The various categories of disclosures contained on the reporting form (“Form ADV”) also includes states of registration, disciplinary events, biographical background and conduct, current registrations […]

The Financial Industry Regulatory Authority (FINRA) maintains a comprehensive archive of frequently asked questions regarding a registered person’s reporting obligations with respect to mandated Forms U4 and U5. Many brokers have been wrongfully burdened with intentional, improper and even fraudulent reporting amendments to the Central Register Depository (CRD), with bogus claims and allegations of wrongdoing. […]

On February 16, 2016 Timothy J. O’Connor was featured on Benchmark Television in an interview on the topic of Financial Fraud having been interviewed by Colonie Town Judge Peter Crummey. In the interview Mr. O’Connor answered a number of questions from Judge Crummey relating to the arbitration of securities disputes before the FINRA (Financial Industry […]

SEC Awards a Total of $8.5 Million Dollars in Two Separate Whistleblower Cases In two separate press releases dated May 16, 2016 and May 17, 2016 the Securities and Exchange Commission announced awards of over $5,000,000 and $3.5 Million Dollars, respectively, to corporate employees whose information and tips bolstered and/or initiated separate investigations with evidence of wrongdoing. […]