FINRA Sanctions

finra-hdqrtrs_0

FINRA Sanctions Cantor Fitzgerald & Co. $7.3 Million for Selling Billions of Unregistered Microcap Shares, and for Related Supervisory and AML Violations

22/12/2015(0)
Trader and Supervisor Suspended and Fined The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Cantor Fitzgerald & Co. $6 million and ordered disgorgement of nearly ... Read More
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