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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…