FINRA fines Cantor Fitzgerald for alleged rule violations
Cantor Fitzgerald & Co has agreed to pay a fine of $73,000 as a part of a settlement with FINRA.
Cantor Fitzgerald & Co has agreed to pay a fine of $73,000 as a part of a settlement with FINRA.
Investment Placement Group (IPG) has agreed to pay a fine of $100,000 as a part of a settlement with FINRA.
Isaak Bond Investments, Inc. has agreed to pay a fine of $20,000 as a part of a settlement with FINRA.
Thomas Sapio, former Head of the U.S. Repurchase Agreements Desk (Repo Desk) at Cantor, is suspended for two months.
NewEdge Securities, LLC has agreed to pay a fine of $125,000 as a part of a settlement with FINRA.
SEI Investments Distribution Co (SIDCO) has agreed to pay a fine of $150,000 as a part of a settlement with FINRA.
PNC Investments LLC has agreed to pay a fine of $200,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Rialto Markets LLC has agreed to pay a fine of $50,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
Susquehanna Financial Group has agreed to pay a fine of $100,000 as a part of a settlement with FINRA.
DriveWealth, LLC has agreed to pay a fine of $100,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).