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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?



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