Search for: "Cantor Fitzgerald Securities"
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17 Apr 2020, 3:08 pm
Continue reading The post Cantor Fitzgerald Partnership Award Claims at FINRA appeared first on Securities Fraud Attorney Blog. [read post]
24 Oct 2007, 4:15 am
A key Cantor Fitzgerald executive has departed as the firm copes with sharp losses from this summer’s crash of the mortgage- and asset-backed securities markets, The New York Post reported. [read post]
6 Aug 2020, 10:22 am
The post Cantor Fitzgerald Income Trust Inc., Securities Investigation appeared first on The White Law Group. [read post]
23 Dec 2015, 9:09 am
FINRA found that Cantor Fitzgerald & Co. [read post]
6 Apr 2020, 1:54 pm
The Securities and Exchange Commission today announced that Cantor Fitzgerald & Co. has agreed to pay $3.2 million to settle charges for providing the SEC with incomplete and inaccurate securities trading information known as “blue sheet data. [read post]
25 Mar 2021, 9:07 am
Cantor Fitzgerald has employed Mr. [read post]
21 Nov 2012, 12:56 pm
The CFTC and Cantor Fitzgerald & Co. settled charges for failing to maintain sufficient funds in its customer segregation account for a period of three days, for failing to provide the CFTC timely notice of its under-segregation, as required, and... [read post]
1 Mar 2019, 10:19 am
FINRA Fines Cantor Fitzgerald $2 Million for Regulation SHO Violations and Supervisory Failures / Firm Required to Retain an Independent Consultant (FINRA Release) http://www.finra.org/newsroom/2019/finra-fines-cantor-fitzgerald-2-million-regulation-sho-violations-and-supervisoryWithout admitting or denying the charges, Cantor Fitzgerald & Co. entered into a Acceptance, Waiver & Consent regulatory settlemetn with FINRA… [read post]
12 Apr 2019, 5:19 am
Cantor Fitzgerald Doesn’t Want This Woman Talking About Her Mug in Court / Lee Stowell says she was bullied and harassed at a Wall Street brokerage. [read post]
20 Mar 2023, 3:55 am
Cantor Fitzgerald LP. that found a non-compete unenforceable. [read post]
20 Mar 2023, 3:55 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6948/securities-industry-commentator/ GUEST BLOG: [In]Securities: Wanting to Break Free: The Delaware Chancery Court Strikes Down Cantor Fitzgerald's Non-Compete Clauses by Aegis Frumento Esq (BrokeAndBroer.com Blog) SEC Tells FINRA to Raise the Gate For Ineligible Expungement Case… [read post]
21 Feb 2020, 1:29 am
Cantor Fitzgerald & Co., Riaz Haidri, and James Gorman, Defendants/Appellants (Opinion, Superior Court of New Jersey/Appellate Division)Actor Steven Seagal Charged With Unlawfully Touting Digital Asset Offering (SEC Release)... [read post]
16 Aug 2019, 11:41 am
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
4 Mar 2022, 10:21 am
FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement (BrokeAndBroker.com Blog)Former Cantor Fitzgerald Trader Sues Over Wrongful Termination Involving Child Care Leave (BrokeAndBroker.com Blog)New York Man Sentenced to Four Years in Prison for Role in Bank Fraud (DOJ Release)North Carolina Man Charged with Wire Fraud, Securities Fraud, and Money Laundering in Connection with Ponzi Scheme (DOJ Release)SEC Charges… [read post]
4 Mar 2022, 10:21 am
FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement (BrokeAndBroker.com Blog)Former Cantor Fitzgerald Trader Sues Over Wrongful Termination Involving Child Care Leave (BrokeAndBroker.com Blog)SEC Proposes Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies (SEC Release)SEC Obtains Final Judgment Against Operator of Fraudulent Digital Asset Trading Fund (SEC Release)FINRA Fines… [read post]
15 Mar 2007, 9:31 am
Just ask Howard Lutnick, the chief executive of eSpeed, a publicly traded subsidiary of the securities firm Cantor Fitzgerald. [read post]
2 Mar 2015, 7:32 am
In 2007, he was transferred to BGC, which was a spinoff company of Cantor Fitzgerald. [read post]
12 Apr 2019, 5:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4552/securities-industry-commentator/Cantor Fitzgerald Doesn’t Want This Woman Talking About Her Mug in Court / Lee Stowell says she was bullied and harassed at a Wall Street brokerage. [read post]
16 Apr 2012, 4:30 am
Cantor Fitzgerald & Co., 10-854-JJB-SCR, 2011 WL 4737197 (M.D. [read post]
3 Apr 2020, 2:27 am
Personal note from Bill Singer -- Not the time for FINRA to ZOOM through witnesses' rightsChris Cuomo: Here's the secret to kicking this virus (CNN / Cuomo Prime Time)Woman charged with falsely claiming officer accessed her bank account from International Space Station (DOJ Release)Cantor Fitzgerald Agrees to Pay $3.2 Million to Settle Charges for Providing Deficient Blue Sheet Data (SEC Release)Protect Your Wallet -- and Your Health -- from Pandemic Scammers / FBI Exec… [read post]
