Tim O'Connor's Blog

FINRA Upgrades its BrokerCheck Stockbroker Online Search Website

Investors seeking information about their brokers will now enjoy upgraded features on the FINRA BrokerCheck website, including the following: – Centralized access to licensing and registration information on current and former brokers, brokerage firms, investment adviser representatives and investment advisor firms. – The ability to search based upon both main office and branch office locations, as well […]

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Ponzi Schemes, Private Placements and Pickpockets

Hundreds of millions of dollars have flowed out of Capital Region households in the past decade for investment into private placement investments.  So, what is a private placement investment, anyway?  Private placements are investments which claim exemption from the registration requirements of the federal securities laws, thereby bypassing the more rigorous, legal, financial, accounting, and […]

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Immediate Annuities? FINRA Cautions Seniors on Immediate Annuity Fraud.

Although immediate annuities are oftentimes sold as a simple, straightforward, guaranteed investment, they can be packaged with many different forms and features.  For example, Immediate annuities such as variable annuities are hybrid products, given their dual characteristics of being both insurance products and securities products.  Immediate annuities and immediate annuity products packaged in a variable […]

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THE RIGHTS OF INVESTORS PREVAIL IN NEW YORK STATE COURT OF APPEALS (ASSURED GUARANTY (UK), LTD. V. JP MORGAN INVESTMENT MANAGEMENT, INC.)

New York small investors score victory in Assured Guaranty (UK), Ltd. v. J.P. Morgan Investment Management, Inc. As a follow up to our earlier blog dated August 1, 2011, on December 20, 2011 New York State Court of Appeals affirmed the order of the lower court dismissing the efforts of J.P. Morgan Investment Management, Inc., […]

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Most Victimized Investors Don’t Know Their Rights

Investment fraud and stockbroker fraud takes many different shapes and forms, and most investors don’t know their rights under the Securities Law.  Wrongful trading activity in the accounts of the everyday American investor can include account churning, private placement fraud, breach of fiduciary duty, annuities fraud, stock manipulation, unauthorized trading, and embezzlement. Securities fraud can […]

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