Tim O'Connor's Blog

Trends in Supervisory and Clearing Firm Liability

On April 6, 2017, Tim O’Connor presented at the 2017 Securities Arbitration and Mediation Continuing Legal Education Presentation of the New York State Bar Association at the New York Society of Security Analysts (NYSSA), 1540 Broadway, New York, New York.  At this presentation, Mr. O’Connor presented with co-author, Paul C. Carroll, former limited partner with […]

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Whistleblower Anonymity, Protection & Awards

Learn About Whistleblower Protection, Anonymity & Awards An Attorney for Whistleblowers Securities Whistleblower Incentives and Protection (15 USC 78u-6) The Federal Securities Whistleblower Incentives and Protection Statute is contained in 15 USC § 78u-6. This statute provides qualified whistleblowers the right to claim monetary remedies pursuant to its terms. Whistleblowers who provide original information in […]

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Looking for Your Lost Retirement Account?

In our mobile society, millions of Americans have lost track of former pension accounts over the past half century. Where did they go? There are a number of resources at your fingertips which could help locate your lost plan. These include: The United States Department of Labor Employee Benefits Security Administrations Assistance Program – 1-866-444-3272 […]

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Problems at the Family Office

Issues With Investing at a Family Office The past decade has seen an explosion in the number of family offices set up by families seeking to coordinate and organize family wealth and assets, as well as issues involving the intergenerational transfer of family legacies. This growth in family offices in turn has given rise to […]

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Fraud Victims Allowed to Proceed with Theft, Embezzlement and Fraudulent Diversion of Investment Funds Claims

In a Decision dated November 3, 2016, in the case of Taylor v. Casolo, the New York State Supreme Court, Appellate Division, Third Judicial Department affirmed Supreme Court’s ruling disqualifying counsel for several defendants in a case alleging the purchase of real property with fraudulently diverted investment funds.  The property in question includes the former […]

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