SEC Charges Investment Adviser and Associated Individuals with Causing Violations of Regulation SHO
- Written by Newsfile
Washington, D.C.--(Newsfile Corp. - August 17, 2021) - The Securities and Exchange Commission today announced settled charges against Murchinson Ltd.; its principal, Marc Bistricer; and its trader, Paul Zogala (the respondents), for providing erroneous order-marking information that caused executing brokers to violate Regulation SHO. In addition,...