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Posted inRegulatory Enforcement

FINRA orders Cantor Fitzgerald to pay $151K over supervision lapses

by Jeff Dale August 22, 2024August 27, 2024

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Cantor Fitzgerald agreed to pay more than $151,000 as part of a settlement with the Financial Industry Regulatory Authority (FINRA) over alleged supervisory failures in respect to over-the-counter (OTC) securities.

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