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Violation Tracker Individual Record

Company: Cantor Fitzgerald & Co.
Current Parent CompanyCantor Fitzgerald
Parent at the Time of the Penalty Announcement subscribe to see this data field
Penalty: $647,000
Year: 2019
Date: August 16, 2019
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: New York
Ownership Structure of Current Parent: privately held
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: investment management
Source of Data(click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.