Cantor Fitzgerald, featured, FINRA
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Cantor Fitzgerald & Co has agreed to pay a fine of $73,000 as a part of a settlement with FINRA.
Cantor Fitzgerald, featured, FINRA
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Thomas Sapio, former Head of the U.S. Repurchase Agreements Desk (Repo Desk) at Cantor, is suspended for two months.
Cantor Fitzgerald, O'Connor, UBS
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The sale includes O’Connor’s six investment strategies that have ~USD 11bn in assets under management.
Cantor Fitzgerald, featured, FINRA
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Cantor Fitzgerald & Co has agreed to pay a fine of $100,000 as a part of a settlement with FINRA.
Cantor Fitzgerald, featured, FINRA
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Cantor Fitzgerald & Co has agreed to pay a fine of $100,000 as a part of a settlement with the Financial Industry Regulatory Authority (FINRA).
BGC Partners, Cantor Fitzgerald
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BGC Partners may offer and sell up to $300 million of shares under its shelf Registration Statement on Form S-3 through Cantor Fitzgerald & Co.
Adam Mattessich, Cantor Fitzgerald
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The SEC asks the Court to impose second-tier civil penalties on Adam Mattessich totaling $240,000.
Cantor Fitzgerald engaged in a pattern or practice of displaying, locking or crossing quotations in OTC Equity Securities.
Cantor Fitzgerald has agreed to pay a $250,000 fine as a part of a settlement with FINRA over short interest position misreporting.
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