Tim O'Connor's Blog

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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The McGinn, Smith Debacle – Over $100 Million Lost. Will the Victims Ever See Justice?

A feature article of the Albany Times Union dated Sunday, September 18, 2011, entitled “Investors Left Adrift in Scam Case,” portrayed the stories of a number of victims of McGinn, Smith who have lost a substantial portion of their life savings.  As indicated in this article, most of what is left of their purported private placement investments […]

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Seniors Fall Prey to Improper Bond and Fixed Income Investment Transactions

Since the financial crisis of 2008, the volatility of the financial markets, particularly the fixed-income investments and bond markets, have left many senior citizens with devastating losses.  Concentrated positions in bonds with inferior or “junk” bond ratings have left many senior citizens with devastating financial losses they will never make up in their lifetimes. Changes […]

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American Investors Stung by Improper Investments in Shares of Chinese Corporations.

In the past 10 years, dozens of Chinese corporations have found a back-door way of selling their shares to the American public through reverse mergers with nearly-defunct or thinly-capitalized American corporations, having previously established share listings with the New York Stock Exchange and the NASDAQ stock market. Many of these Chinese-based corporations maintain their managerial, […]

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National Grid/Niagara Mohawk Retirees Targeted by Improper, Unsuitable, and Risky Investments

Numerous civil complaints filed with the Office of Dispute Resolution of the Financial Industry Regulatory Authority (FINRA) reveal that a number of retirees from National Grid/Niagara Mohawk have fallen prey to improper investment sales tactics by financial advisors and stockbrokers.    Notably, thousands of qualified retirees from National Grid/Niagara Mohawk are offered the choice of either […]

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