Tag Archives: Sylvester Knox

FINRA Sanctions Merrill Lynch Stockbroker For Unauthorized Trading

August 27, 2020  |   Posted by :   |   Securities Arbitration Claims   |   Comments Off on FINRA Sanctions Merrill Lynch Stockbroker For Unauthorized Trading

Sylvester Knox of Short Hills New Jersey a stockbroker formerly employed by Merrill Lynch Pierce Fenner Smith has been fined $10,000.00 and suspended for nine months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Knox engaged in unauthorized trades in Merrill Lynch customer accounts. Letter of […]

Read More »