Tag Archives: Cantor Fitzgerald & Co.

Cantor Fitzgerald Fined $7.2 Million for Failure to Supervise

Cantor Fitzgerald & Co., headquartered in New York, New York, was censured, fined $6,000,000 and disgorged of $1,285,561 plus interest after consenting to findings that the firm had failed to adequately supervise sales of microcap securities pertaining to due diligence and identifying red flags with unlawful distributions of unregistered securities. The firm’s executive managing director […]

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