Stockbroker Fraud

Representing Investors Nationwide

FS KKR Capital Corp II (NYSE: FSKR)

On June 18, 2020, FS KKR Capital Corp II (Symbol: FSKR) was listed on the New York Stock Exchange (NYSE)  and has dramatically declined since...and the stock going public was preceded by a 4:1 reverse split that cut the share holdings of investors in the Non-traded Business Development Companies (BDCs) FS Investment Corporation II, FS Investment Corporation III, FS I

Connecticut Investment Firm Charged with Misleading Investors

stockbroker investment fraud attorneysOn July 18, 2018, the U.S. Securities and Exchange Commission (SEC) charged Temenos Advisory Inc., a Connecticut-based retail investment firm, and its chief executive officer George L. Taylor, with defrauding its investors. The SEC states that the company and its CEO placed $19 million of investor’s money into risky investments while taking large commissions off of those investments.

What are Signs of Stockbroker Misconduct?

stockbroker misconduct fraud orlando attorneysWhen you entrust your money with a stockbroker you expect a high level of professionalism, honesty, and trust. After all, you’re taking finances you’ve worked hard to accumulate and placing it in the hands of an individual whose job is to manage it on your behalf. But what happens when a stockbroker acts negligently or purposefully engages in misconduct with your money?


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