Search for: "Cantor Fitzgerald Securities"
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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]
3 Jan 2019, 5:48 am
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Albin, William Waddell & Reed Metlife Securities Inc Allen, David Avenir Financial Group Gunnallen Financial, Inc Boupon, Kean Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith… [read post]
18 Jan 2018, 9:30 am
U.S. financial firms CME Group, CBOE, and Cantor Fitzgerald listed financial products offering exposure (and futures) to cryptocurrencies on December 18, 2017. [read post]
30 Nov 2017, 12:06 pm
Fraser, vice chairman of Cantor Fitzgerald, had a long-term working relationship with Josh Garza, who was convicted in July 2017 on charges of wire fraud. [read post]
23 Dec 2015, 9:09 am
FINRA found that Cantor Fitzgerald & Co. [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]
14 Sep 2014, 3:18 pm
In particular the staggering loss of six hundred fifty-eight employees by the largest securities interdealer broker, Cantor Fitzgerald, sent shockwaves through the industry that were and are still being felt.I didn’t intend to write a piece about 9-11 or to devote my Thursday spot on the Netroots Radio program The After Show to this subject. [read post]
18 Dec 2013, 11:00 am
Cantor Fitzgerald, the Wall Street firm that lost 658 employees in the World Trade Center’s north tower on September 11, 2001, has reached a $135 million settlement in its negligence suit against American Airlines. [read post]
2 Jul 2013, 1:41 pm
The other day, I was blogging about tags, and somebody asked what are all the tags. [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]
11 Sep 2012, 8:10 am
… Financial services firm Cantor Fitzgerald is also suing American Airlines over lost business and the destruction of its offices in the World Trade Center. [read post]
11 Sep 2012, 8:10 am
… Financial services firm Cantor Fitzgerald is also suing American Airlines over lost business and the destruction of its offices in the World Trade Center. [read post]
1 Aug 2012, 5:51 am
Brunner, President and CEO, BNP Paribas Securities Corp. [read post]
19 May 2012, 4:16 pm
He previously worked for Salomon Brothers, Credit Suisse First Boston, and Cantor Fitzgerald (CANTRP), where he also was president of its asset management and debt capital markets divisions. [read post]
27 Apr 2012, 10:09 am
Identifying customer location Cantor Gaming, an affiliate of Cantor Fitzgerald that provides remote gaming and betting technology, has contracted with LocAid to verify the location of customers using its mobile products in the U.S. [read post]
16 Apr 2012, 4:30 am
Cantor Fitzgerald & Co., 10-854-JJB-SCR, 2011 WL 4737197 (M.D. [read post]
28 Sep 2011, 2:01 pm
There were 600 plaintiffs in the lawsuit, including many victims employed by Cantor Fitzgerald, the investment firm that was decimated in the September 11, 2001 attacks 8 ½ years later. [read post]
22 Sep 2011, 11:34 am
One of the biggest remaining claims was filed by brokerage firm Cantor Fitzgerald, which seeks to recover for the damages it alleges it suffered when it had to vacate its trade center offices for one month following the bombing. [read post]
15 Sep 2011, 1:05 pm
He was head of the tax department at Cantor Fitzgerald on that clear September day, and was in an elevator heading for his 104th floor office when the plane struck. [read post]
19 Nov 2010, 12:30 pm
Monteleone, a bond trader at Cantor Fitzgerald LP in Memphis, Tennessee, who grew up in Bay Ridge, told jurors he gave Barry $100,000 to invest and Barry refused to return any money. [read post]
