WARNING! Investigation of SYLVESTER KNOX of Merrill Lynch
Israels & Neuman, PLC Investigates Sylvester Knox, Formerly of Merrill Lynch
Have you lost money with financial advisor Sylvester Knox (CRD# 1625705), formerly of Merrill Lynch, in Short Hills, New Jersey? We are investigating allegations of former customers related to Sylvester Knox. Sylvester Knox’s CRD report, a public record maintained by FINRA, states that Knox has been the subject of 25 customer complaints, many of which involve conduct while Knox was affiliated with Merrill Lynch.
Specifically, Sylvester Knox’s CRD contains numerous allegations by customers, including misrepresentations about municipal bonds from Puerto Rico, options, variable annuities, and common stocks. Knox was also the subject of a complaint by Michigan, alleging that he made misrepresentations in filings with the State of Michigan.
Sylvester Knox was a registered representative of Merrill Lynch from 2000 to January 2017. He also previously worked with FSC Securities Corp. from January 2017 to August 2018. He has worked at branch offices in Short Hills, New Jersey.
Brokerage firms like Merrill Lynch have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Ann Arbor, Michigan; and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Michigan. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Merrill Lynch.
Click to view: Knox, Sylvester Michigan Complaint
Click to view: Knox, Sylvester BrokerCheck 5.10.19
If you lost money with Sylvester Knox or Merrill Lynch, CONTACT ISRAELS & NEUMAN at 720-599-3505 or 206-795-5798 for a free evaluation of your case.