WashingtonD.C. Aug. 17, 2021 — The SecuritiesAnd Exchange CommissionToday, settled charges were announced against Murchinson Ltd.; its principal. Marc Bistricer; and its trader Paul Zogala(the respondents) for providing incorrect order-marking information which caused executing brokers to violate RegulationSHO. InAdditionally, MurchinsonAnd BistricerSettlement of charges for failing to register a dealer with the SEC AccordingAccording to the …
source https://financialadvisorcomplaints.com/sec-charges-investment-adviserand-associated-individualswith-causing-violationsof-regulationsho/
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