Violation Tracker Parent Company Summary

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: 
$15,197,000
Number of records: 
7
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$15,197,0007
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$15,197,0007
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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Primary Offense Typesort icon Year Agency Penalty Amount
Cantor Fitzgerald investor protection violation 2012 CFTC $700,000
Cantor Fitzgerald & Co. investor protection violation 2011 CFTC $100,000
Cantor Fitzgerald & Co. investor protection violation 2018 SEC $1,250,000
Cantor Fitzgerald & Co. investor protection violation 2019 SEC $647,000
Cantor Fitzgerald & Co. investor protection violation 2020 SEC $3,200,000
Cantor Fitzgerald & Co. investor protection violation 2019 FINRA $2,000,000
Cantor Fitzgerald & Co. investor protection violation 2015 FINRA $7,300,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)