Merrill Lynch Fined by FINRA for Reg SHO Violations


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. Did You Lose Money Investing with Merrill Lynch? Notice: JavaScript is required for this content. Print this Article