Kerry Knox is the Subject of an Unauthorized Trading Dispute

Kerry Knox (CRD #: 4130858), a broker registered with Merrill Lynh, Pierce, Fenner & Smith, racked up a new investor dispute on his BrokerCheck record, accessed on July 25, 2023. Concerned investors should keep reading. 

On May 19, 2023, an investor alleged that Kerry Knox executed an unauthorized trade on May 19, 2023. The dispute was denied, but investors should know that firms can deny disputes without any external review. Following a denial, investors may still be able to recover their funds via FINRA arbitration. 

FINRA Rule 3260

FINRA Rule 3260 limits brokers trading discretion to pre-approved discretionary accounts. These accounts must be approved for discretionary trading by both the client and the firm.

Background Information 

Kerry Knox has passed the following exams: 

• Series 66 Uniform Combined State Law Examination 
• SIE – Securities Industry Essentials Examination
• Series 31 Futures Managed Funds Examination 
• Series 7 General Securities Representative Examination 

He is a registered broker in 31 states, the District of Columbia, and the Virgin Islands. He is also a registered investment adviser in Texas. 

Kerry Knox has only registered with Merrill Lynch (CRD #: 7691).

Kurta Law Can Help

If you worked with Kerry Knox and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.