Securites Fraud Attorneys SHEPHERD, SMITH & EDWARDS, LLP
stock fraud online consultations
Skip to main content
about Our Stock Attorneys contact stock lawyers securities arbitration questions Securities fraud news Broker Misconduct Resources and links about investment protection en Espanol
Free Consultation

or call
1-800-259-9010


Cantor Fitzgerald & Co.

Cantor Fitzgerald & Co. (CRD #134, New York, New York) received a censure and fine of $29,000. The firm was also required to revise its written supervisory procedures concerning the requirements of quotation activity in OTC Equity securities. According to the regulators, the firm failed to contemporaneously or partially execute customer limit orders in NASDAQ securities after it traded each subject security for its own market-making account at a price that would have satisfied each customer's limit order. The firm accepted the fine and censure but did not admit or deny the accusations.

Did Cantor Fitzgerald & Co. manage your investments?

 

 

If you would like one of our specialists to provide a free consultation, please let us know how to reach you:

 Your Name

 Your Phone

 Your Question / Situation