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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Cantor Fitzgerald
Ownership Structure: privately held
Headquartered in: New York
Major Industry: financial services
Specific Industry: investment management
Penalty total since 2000$53,430,333
Number of records: 11
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$32,597,00010
competition-related offenses$20,833,3331
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$32,597,00010
price-fixing or anti-competitive practices$20,833,3331
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

For an overview of assistance this company is receiving under the CARES Act, see its Covid Stimulus Watch summary page here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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Company sort icon . Primary Offense TypeYearAgencyPenalty Amount
Cantor Fitzgerald & Co.investor protection violation2011CFTC$100,000
Cantor Fitzgerald & Co.investor protection violation2018SEC$1,250,000
Cantor Fitzgerald & Co.investor protection violation2019SEC$647,000
Cantor Fitzgerald & Co.investor protection violation2020SEC$3,200,000
Cantor Fitzgerald & Co.investor protection violation2019FINRA$2,000,000
Cantor Fitzgerald & Co.investor protection violation2015FINRA$7,300,000
Cantor Fitzgerald & Co.investor protection violation2022SEC$10,000,000
Cantor Fitzgerald & Co.price-fixing or anti-competitive practices2020private lawsuit-federal$20,833,333
Cantor Fitzgerald & Co.investor protection violation2023SEC$1,400,000
Cantor Fitzgeraldinvestor protection violation2012CFTC$700,000
Cantor Fitzgeraldinvestor protection violation2022CFTC$6,000,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.