Anthony J. Cantone

07/18/2024: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 100553 / July 18, 2024 Admin. Proc. File No. 3-18999 In the Matter of the Application of CANTONE RESEARCH INC., ANTHONY CANTONE, AND CHRISTINE CANTONE For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION — REVIEW OF DISCIPLINARY PROCEEDING Associated persons and member firm appeal from FINRA disciplinary action finding that one associated person and member firm made material misstatements and omissions in connection with the sales of securities in private placements, and that one associated person failed to reasonably supervise the other. Held, FINRA’s findings of violations are sustained in part and set aside in part, the sanctions imposed are set aside, and the case is remanded for a reassessment of sanctions.

01/16/2019: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Cantone Research, Inc., Anthony Cantone, and Christine Cantone Tinton Falls, NJ, Respondents. DECISION Complaint No. 2013035130101 Dated: January 16, 2019 Member firm and its president intentionally made material omissions and a misrepresentation in connection with the sale of securities in a series of

Reference 2013035130101data-portal.finra.orgdata-portal.finra.orgfinra.org

10/26/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Cantone Research Inc. (CRD No. 26314), Anthony J. Cantone (CRD No. 1066139), and Raymond J. DeRobbio (CRD No. 1092310) Respondents. Disciplinary Proceeding No. 2017055886402 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2017055886402 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondents Cantone Research Inc. (CRI), CRI President and majority

01/25/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CANTONE RESEARCH INC. (CRD No. 26314), ANTHONY J. CANTONE (CRD No. 1066139), and RAYMOND J. DEROBBIO (CRD No. 1092310), Respondents. Disciplinary Proceeding No. 2017055886402 Hearing Officer–LOM EXTENDED HEARING PANEL DECISION January 25, 2024 Respondents sold municipal bonds without a reasonable basis to believe them suitable for any investor because they conducted inadequate due diligence, in willful violation of MSRB Rule G-19. In selling the bonds, Respondents used negligent misrepresentations and omissions of material fact, in willful violation of MSRB Rule G-17 and Securities Act Sections 17(a)(2) and 17(a)(3). They also failed to disclose at or prior to the time of trade all material information about the transaction, in willful violation of MSRB Rule G-17. For these violations in the aggregate, Respondent Cantone Research Inc. is expelled from FINRA membership, and Respondents Anthony J. Canto

Reference 2017055886402data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org

11/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Cantone Research Inc. (BD No. 26314), Anthony J. Cantone (CRD No. 1066139), and Christine L. Cantone (CRD No. 2687618), Respondents. DISCIPLINARY PROCEEDING No. 2013035130101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From in or about 2010 through in or about 2013 (the "Relevant Period"), Cantone Research Inc. ("CRI"), acting through Anthony J. Cantone ("Cantone"), the

05/12/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. CANTONE RESEARCH INC. (BD No. 26314), ANTHONY J. CANTONE (CRD No. 1066139), and CHRISTINE L. CANTONE (CRD No. 2687618), Respondents. Disciplinary Proceeding No. 2013035130101 Hearing Officer-MC EXTENDED HEARING PANEL DECISION May 12, 2017 Respondents Cantone Research Inc. and Anthony J. Cantone intentionally made material omissions and a misrepresentation in connection with the sales of securities

Reference 2013035130101data-portal.finra.orgdata-portal.finra.orgfinra.org

01/23/2026: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Cantone Research, Inc., Anthony Cantone, and Christine Cantone, Tinton, NJ, Respondents. DECISION Complaint No. 2013035130101r Dated: January 23, 2026. On remand from the Securities and Exchange Commission for reconsideration of sanctions. Held, sanctions affirmed in part and modified in part.

Reference 2013035130101rdata-portal.finra.orgfinra.org

12/15/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073419201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Anthony Joseph Cantone (Respondent) Former General Securities Representative, General Securities Principal, Research Analyst, Research Principal, Investment Banking Representative, and Investment Banking Principal CRD No. 1066139 Pursuant to FINRA Rule 9216, Respondent Anthony Joseph Cantone submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2022073419201data-portal.finra.orgfinra.org