• Join today
  • Register for free newsletter
  • Sign In
  • Home
  • News
    • National Compliance Officer Day 2025
    • Accounting & Auditing
    • AI
    • AML
    • Anti-Bribery
    • Best Practices
    • Boards & Shareholders
    • Cryptocurrency and Digital Assets
    • Culture
    • ESG/Social Responsibility
    • Ethics & Culture
    • Europe
    • Financial Services
    • Internal Controls
    • Regulatory Enforcement
    • Regulatory Policy
    • Risk Management
    • Sanctions
    • Surveys & Benchmarking
    • Supply Chain
    • Third Party Risk
    • Whistleblowers
  • ECI Programs
    • HQP Benchmarking
    • LPEC Certification
  • Events
    • Third-Party Risk Management & Supply Chain Summit
    • CPE Accreditation Information
    • Webcasts
  • Research
    • Case Studies
    • Inside the Mind
    • e-Books
    • Survey Reports
    • Thought Leadership
    • Magazine Archive
  • Awards
  • App
  • Membership
  • Contact Us
  • Instagram
  • Linkedin
  • Email us
Skip to content
Compliance Week

Compliance Week

Intelligence, Peer Practice, and Convening for Risk and Compliance Leaders

  • Join today
  • Register for free newsletter
  • Sign In
Sign In
  • Home
  • News
    • National Compliance Officer Day 2025
    • Accounting & Auditing
    • AI
    • AML
    • Anti-Bribery
    • Best Practices
    • Boards & Shareholders
    • Cryptocurrency and Digital Assets
    • Culture
    • ESG/Social Responsibility
    • Ethics & Culture
    • Europe
    • Financial Services
    • Internal Controls
    • Regulatory Enforcement
    • Regulatory Policy
    • Risk Management
    • Sanctions
    • Surveys & Benchmarking
    • Supply Chain
    • Third Party Risk
    • Whistleblowers
  • ECI Programs
    • HQP Benchmarking
    • LPEC Certification
  • Events
    • Third-Party Risk Management & Supply Chain Summit
    • CPE Accreditation Information
    • Webcasts
  • Research
    • Case Studies
    • Inside the Mind
    • e-Books
    • Survey Reports
    • Thought Leadership
    • Magazine Archive
  • Awards
  • App
  • Membership
  • Contact Us
Posted inRegulatory Enforcement

Cantor Fitzgerald fined $100K by FINRA over disclosure lapses

by Kyle Brasseur August 21, 2023August 25, 2023

Share this:

  • Share on Facebook (Opens in new window) Facebook
  • Share on X (Opens in new window) X

Cantor Fitzgerald agreed to pay $100,000 as part of a settlement with the Financial Industry Regulatory Authority (FINRA) regarding alleged disclosure failures about which the firm had previously been warned.

Learn More
Already a member? Sign in to an existing account.
Tagged: CW Subscriber Only

Filter your search
By Type
By Topic
By Region
By Writer
By Date

Selecting a preset overrides the custom range.

Clear

Most Popular

Five Practical Lessons Learned at the 2026 Compliance Week National ConferenceMay 28, 2026
Retaliation Against Compliance Officers: What the Numbers Really SayJune 1, 2026
Remember the GDPR scramble? The EU Anti-Corruption Directive clock is already running.May 29, 2026
Majority of CCOs worry about 'keeping up with pace of technological change,' Compliance Week's Inside the Mind survey findsMay 29, 2026
CCO/CECO salaries spiked in 2025, according to Inside the Mind surveyJune 3, 2026

Interested in writing for CW?

Compliance Week accepts outside contributions from corporate chief compliance officers and other senior-level GRC practitioners. To learn more, contact the CW Editor.

  • Contact us
  • Advertise
  • My CW
  • CW Advisory Board
  • Email Preferences
  • CW Staff
  • Help
  • Media Inquiries
  • Media Toolkit
  • Editorial Submissions
  • Reprints
  • Search

Download the App

  • Terms and Conditions
  • Do Not Sell My Info
© 2026 Compliance Week, Inc. Powered by Newspack Privacy Policy
  • Instagram
  • Linkedin
  • Email us

Sign in

Or

Sign in by entering the code we sent to , or clicking the magic link in the email.

Forgot password
Continue Set a password (optional)

Gift this article

Loading Comments...