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Investor Alert: Michael Pellegrino and Taylor Capital Management, Inc.

Investor Alert: Michael Pellegrino and Taylor Capital Management, Inc.

Recently, the Financial Industry Regulatory Authority (“FINRA”) suspended and fined Michael Pellegrino of Taylor Capital Management, Inc. (“TCM”) for distributing misleading communications in July 2017.  Pellegrino was based in Florida. Violative Conduct Per Pellegrino’s Letter of Acceptance, Waiver, and Consent (“AWC”), while with TCM, Pellegrino distributed a retail communication called…

Investor Alert: Sylvester Knox and Merrill Lynch

Investor Alert: Sylvester Knox and Merrill Lynch

The Financial Industry Regulatory Authority (“FINRA”) fined Sylvester Knox $10,000 and suspended him from FINRA for nine months.  According to Knox’s Letter of Acceptance, Waiver, and Consent, from “June 2015 through October 2016, Knox violated FINRA Rule 2010 when he effected 36 transactions with a total principal value of approximately…