Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has launched an active investigation into Tim O’Brien (CRD# 5798481), a financial advisor based in Colorado Springs, Colorado. Currently registered with Ausdal Financial Partners (doing business as TK Financial Services), Mr. O’Brien’s record reveals multiple investor complaints and significant settlements that demand close scrutiny from any current or prospective investor. In this report, we leverage our insider knowledge as former Wall Street defense attorneys to help you understand the facts, the red flags, and how to protect your interests.
If you’ve suffered unexpected losses or have concerns about your investments with Tim O’Brien or TK Financial Services, you are not alone. Our attorneys have a 98% success rate in investor recovery claims, representing clients with a combined 95+ years of securities law experience. We have handled over $520 million in securities matters and are proud of our Top 2% peer-review ranking (Martindale-Hubbell AV Preeminent, Super Lawyers, and 5.0-star client reviews). You owe us nothing unless we recover your funds — no recovery, no fee.
Why Haselkorn & Thibaut Is Investigating Tim O’Brien in Colorado Springs
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We believe that investors deserve transparent, trustworthy advisors. Recent events involving Tim O’Brien have raised critical questions regarding his professional conduct and the protections afforded to his clients. As part of our ongoing mission to safeguard investors Nationwide, we are investigating:
- Whether there are patterns of unauthorized transactions or breaches of fiduciary duty by this advisor
- The circumstances and outcomes of customer complaints and settlements
- Potential gaps in firm supervision at Ausdal Financial Partners and TK Financial Services
- Risk factors tied to advisors with a record of multiple investor claims
Who Is Tim O’Brien (CRD# 5798481)?
Tim O’Brien is a registered broker and investment advisor currently operating out of Colorado Springs, Colorado, with Ausdal Financial Partners (DBA TK Financial Services). He has accumulated 14 years in the securities industry and is licensed in California, Colorado, and Washington.
His credentials are extensive, having passed ten securities industry exams, including:
- Securities Industry Essentials Examination (SIE)
- Uniform Combined State Law Exam (Series 66)
- Uniform Securities Agent State Law Exam (Series 63)
- Municipal Securities Principal and Representative Examinations (Series 53, 52)
- General Securities Principal and Representative Examinations (Series 24, 7, 6)
- Operations Professional Exam (Series 99TO)
- Registered Options Principal Examination (Series 4)
Previously, O’Brien worked with InterVest International Equities in Colorado Springs from 2012 until 2025.
A Closer Look: Investor Complaints & Settlements
Despite the credentials, Tim O’Brien’s record reveals multiple investor complaints—each resulting in settlements. It is critical to review these in detail:
| Date Filed | Allegations | Affiliation | Outcome/Settlement Amount |
|---|---|---|---|
| January 2026 | Negligence Breach of fiduciary duty Unauthorized liquidation and distribution of assets Breach of contract |
InterVest International Equities Corporation | $107,121 settlement |
| 2024 | Breach of fiduciary duty Negligence Unsuitable investment recommendations Breach of contract Violations of securities laws/rules (GWG L bonds) |
Not specified | $21,000 settlement |
In the 2026 complaint, the investor alleged that Tim O’Brien liquidated and distributed assets without authorization, breached his fiduciary duty, and violated the contract. The case settled for $107,121.
The 2024 complaint also alleged negligence, breach of fiduciary duty, sales of unsuitable investments (notably GWG L bonds), breach of contract, and legal violations. This case settled for $21,000.
In response, Mr. O’Brien asserted that he was erroneously named due to his position as Chief Compliance Officer at the relevant firm; according to his statement, claims against him were voluntarily dismissed and he did not financially contribute to the settlement. We view all aspects of these complaints with a critical eye, recognizing that even indirect involvement can pose risks to investors.
Disclosure Review: What Public Records Show
It is imperative for investors to verify the records of any professional they entrust with their hard-earned funds. An examination of FINRA BrokerCheck and other sources as of May 2026 finds:
| Field | Finding |
|---|---|
| Customer Disputes | None currently reported on BrokerCheck |
| Regulatory Actions (FINRA/SEC) | None currently reported |
| Civil/Criminal Judgments | None |
| Bankruptcies/Tax Liens | None |
However, the public record may lag behind actual events. Settlements may not always appear on BrokerCheck, and dismissed complaints may still indicate a firm’s deeper issues. We strongly encourage investors to seek real-time verification through public sources and professional legal guidance.
Red Flags for Investors Considering Tim O’Brien or TK Financial Services
No matter the outcome or explanations, multiple investor complaints and substantial settlements signal red flags that should not be ignored:
- Allegations of asset liquidation/distribution without authorization
- Breach of fiduciary duty
- Settlements totaling over $128,000 in under two years
- Recommendations of high-risk or unsuitable investments (e.g., GWG L Bonds)
These patterns have historically foreshadowed more serious or widespread compliance failures — and have prompted our attorneys to investigate whether similar harm is occurring elsewhere under this advisor’s watch.
How to Check Your Investments and Advisor’s Record
Protecting yourself begins with vigilance and verified information. Here are recommended steps:
- Check FINRA BrokerCheck regularly for updates on Tim O’Brien’s record
- Review all account statements and confirmations for unauthorized or unexplained transactions
- Maintain records of all communications with your advisor and their firm
- If any questions or red flags arise, act quickly to consult an experienced securities attorney
Your Next Steps: How We Can Help Recover Your Losses
If you invested with Tim O’Brien of Ausdal Financial Partners/TK Financial Services in Colorado Springs, Colorado and suffered losses or experienced questionable conduct, you may have the right to recover your funds. Our team of former defense attorneys leverages unique “insider” experience to fight for investors’ recovery, in arbitration and in court. We individually investigate every case, never treating you as a statistic.
Our promise is simple: No recovery, no fee. You lose nothing by calling us—except the opportunity to take decisive action for your financial security.
Contact Haselkorn & Thibaut for a free, confidential consultation now. Call 1-888-885-7162 or use our online form. Let our firm advocate for your recovery—your vigilance and our expertise can make all the difference.
