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.
Thomas Sapio, former Head of the U.S. Repurchase Agreements Desk (Repo Desk) at Cantor, is suspended for two months.
The sale includes O’Connor’s six investment strategies that have ~USD 11bn in assets under management.
Cantor Fitzgerald & Co has agreed to pay a fine of $100,000 as a part of a settlement with FINRA.
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 may offer and sell up to $300 million of shares under its shelf Registration Statement on Form S-3 through Cantor Fitzgerald & Co.
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.