The Law Offices of Timothy J. O’Connor & Stockbroker Law
29 Wards Lane, Albany, NY 12204, Albany, NY 12204
About The Law Offices of Timothy J. O’Connor & Stockbroker Law
The Law Offices of Timothy J. O’Connor & Stockbroker Law provides legal representation for personal injury and investment misconduct cases. Timothy J. O’Connor has 37 years of experience, serving clients from Albany, NY, and across New York and Florida. The firm also assists investors nationwide with securities fraud, whistleblower claims, family office counseling, and private company disputes. They have secured multi-million dollar recoveries for clients.
Notable Case Results
Case results are sourced directly from attorney websites by Injuria.ai's data infrastructure, which actively monitors 22,000+ personal injury law firms. They are not results obtained by ThatCarHitMe.com. Prior results do not guarantee a similar outcome.
$716,000
Investment Misconduct - Unsuitable Investments
FINRA ordered Oppenheimer & Co., Inc. to pay restitution of more than $716,000 to customers who were sold unsuitable leveraged, inverse, and inverse-leveraged exchange-traded funds (ETFs).
$5M
Investment Misconduct - Securities Fraud
Morgan Stanley Smith Barney agreed to settle charges that it provided misleading information to clients in its Retail Wrap Fee Programs regarding trade execution services and transaction costs.
$5M
Whistleblower Award - Securities Fraud
SEC awarded $5,000,000 to a corporate employee whose information and tips bolstered and/or initiated an investigation with evidence of wrongdoing.
$15M
Investment Misconduct - Mutual Fund Overcharges
Wells Fargo ordered by FINRA to pay restitution to retirement accounts and charities overcharged for mutual funds due to failure to waive sales charges.
$6.3M
Investment Misconduct - Mutual Fund Overcharges
LPL Financial ordered by FINRA to pay restitution to retirement accounts and charities overcharged for mutual funds due to failure to waive sales charges.
$500,000
Whistleblower Award - Securities Fraud
SEC paid a whistleblower award in excess of one half million dollars to a company employee for providing specific information disclosing a fraudulent practice.
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