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 and employment history.
Individuals who are dually registered as both individual investment advisor representatives as well as registered representatives of a FINRA member brokerage firm are linked to FINRA’s separate BrokerCheck System and their FINRA related results will also appear when conducting a search for an individual investment advisor representative.
We offer a free initial consultation to investors who have been victimized by an individual investment advisor representative or SEC registered investment advisor firm. For an appointment contact the Law Offices of Timothy J. O'Connor at (518) 426-7700.