Merrill Lynch Fined by FINRA for Reg SHO Violations

by Admin Istrator | November 10, 2021 10:57 pm

FINRA recently announced that Merrill Lynch would pay a fine for various trading violations, including violations of Regulations SHO. According to FINRA, Merrill Lynch failed to close out fail-to-deliver positions. Here is a copy of FINRA’s fine.

2016050801702-Merrrill-Lynch-Pierce-Fenner-Smith-Inc.-CRD-7691-AWC-jlg-2021-1636158009040[1]Download[2]

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Endnotes:
  1. 2016050801702-Merrrill-Lynch-Pierce-Fenner-Smith-Inc.-CRD-7691-AWC-jlg-2021-1636158009040: https://mdf-law.com/wp-content/uploads/2021/11/2016050801702-Merrrill-Lynch-Pierce-Fenner-Smith-Inc.-CRD-7691-AWC-jlg-2021-1636158009040.pdf
  2. Download: https://mdf-law.com/wp-content/uploads/2021/11/2016050801702-Merrrill-Lynch-Pierce-Fenner-Smith-Inc.-CRD-7691-AWC-jlg-2021-1636158009040.pdf

Source URL: https://mdf-law.com/merrill-lynch-fined-finra/

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