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Cantor Fitzgerald & Co.

Cantor Fitzgerald & Co. (CRD #134, New York, New York) received a censure and fine of $10,000. According to the findings, the firm was also ordered to revise its written supervisory procedures relating to the SEC and NASD firm quote rules. The sanctions were based on findings that the firm failed to execute orders presented at the firm's published bid or offer in an amount up to its published quotation size and, thereby, failed to honor its published quotation. Additionally, the firm's supervisory system failed to provide adequate supervision to achieve compliance with respect to the applicable securities laws and regulations concerning the SEC and NASD firm quote rules. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS000230)

Did Cantor Fitzgerald & Co. manage your investments?



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