We are back after a month of preparation for our next round of installments. Our absence has been spent delving into the finer details of earlier stories.
In prior installments, we touched on Bob Knox’s new investment banking firm, R.G. Knox Company LLC, located in Park City , Utah
It was brought to our attention the website for R.G. Knox Company LLC has a very conspicuous public misrepresentation which after investigation looks as if it were intentional. The website states “R.G. Knox Company, Established 1975.” In fact, public records from the State of Utah reflect R.G. Knox Company LLC was registered in 2005….NOT 1975. Further evidence of this intent to mislead clients arises from SEC Filings prepared, signed and filed by Bob's wife, Karla. These filings state for the record R.G. Knox Company LLC was not an active company until 2007. Ms. Knox is a registered CPA in California and Utah. Her involvement in this matter has been referred to the California and Utah agencies that oversee CPA's and their certification.
A source contacted Mr. Knox in an effort to sort out this matter. Bob stated he "started the company in San Francisco in 1975.” Well, last we checked San Francisco is NOT in Utah. Zion’s Bank (for whom Mr. Knox was recently employed) was contacted to determine their involvement, if any, with R.G. Knox Company LLC. As a publicly traded company, as well a bank, Zion’s has strict reporting requirements which must be followed. Any such involvement with R.G. Knox Company LLC must be publicly disclosed. Zion’s Bank did not appear to have any such records.
What we at The Back Story found very fascinating is Mr. Knox’s Utah based investment-banking firm was formed and active during a period of time for which he was an employee of Zion’s Bank in their investment banking division. This may raise relevant questions concerning conflicts of interest, self-dealing, and perhaps insider trading. The SEC, as well federal laws have strict guidelines for officers and employees of publicly traded banks and investment firms. Acting on behalf of your own private firm while an officer/employee of a publicly traded bank/investment firm is an area of interest in this post Madoff era.
