Cantor Fitzgerald & Co.

05/06/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059464001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cantor Fitzgerald & Co. (Respondent or Cantor) Member Firm CRD No. 134 Pursuant to FINRA Rule 9216, Respondent Cantor Fitzgerald & Co. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2018059464001data-portal.finra.orgfinra.org

01/16/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140412331-01 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA") RE: Cantor Fitzgerald & Co., Respondent Broker-Dealer CRD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cantor Fitzgerald & Co. (the “firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2014041233101finra.orgdata-portal.finra.org

12/21/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034964301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA'') RE: Cantor Fitzgerald & Co., Respondent CRD No. 134 Jarred Kessler, Respondent General Securities Principal CRD No. 2778868 Joseph Ludovico, Respondent General Securities Representative CRD No. 3137825 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of

Reference 2012034964301data-portal.finra.orgfinra.org

08/10/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.200500179967-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent Broker-Dealer CRD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cantor Fitzgerald & Co, (the "firm" or ''CANT") submits this Letter of Acceptance, Waiver and Consent

Reference 2005001796701finra.orgdata-portal.finra.org

01/08/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150464571-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA”) RE: Cantor Fitzgerald & Co., Respondent Broker-Dealer CRD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cantor Fitzgerald & Co. (the “firm” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2015046457101data-portal.finra.orgfinra.org

07/01/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140409850-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent Broker-Dealer CRD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cantor Fitzgerald & Co. (the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2014040985001finra.orgdata-portal.finra.org

04/02/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120316772-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent Broker-Dealer CRD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cantor Fitzgerald & Co. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2012031677201finra.orgdata-portal.finra.org

01/09/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ## 2005002507802 TO: Department of Market Regulation NASD RE: Cantor Fitzgerald & Co., Respondent Broker-Dealer a CRD No. 134 Pursuant to Rule 9216 of NASD Code of Procedure, Cantor Fitzgerald & Co. (the "firm" or "CANT") submits this Letter of Acceptance. Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the

Reference 2005002507802finra.orgdata-portal.finra.org

04/01/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046800201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent Broker-Dealer No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cantor Fitzgerald & Co. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2015046800201data-portal.finra.orgfinra.org

08/21/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011026837401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co. ("Cantor" or the ''Firm"), Respondent BD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 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

Reference 2011026837401data-portal.finra.orgfinra.org

01/24/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140415700-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent Broker-Dealer CRD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cantor Fitzgerald & Co. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

Reference 2014041570001data-portal.finra.orgfinra.org

11/25/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 20120340966-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent Broker-Dealer CRD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cantor Fitzgerald & Co. ("CFCO" or the "firm'') submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2012034096601data-portal.finra.orgfinra.org

12/05/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050018123-01 TO: Department of Market Regulation NASD RE: Cantor Fitzgerald & Co., Respondent Broker/Dealer CRD No. 134 Pursuant to Rule 9216 of NASD Code of Procedure, Cantor Fitzgerald & Co. ("CANT") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future

Reference 2005001812301data-portal.finra.orgfinra.org

12/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080123329-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent Broker-Dealer CRD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cantor Fitzgerald & Co. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

Reference 2008012332902data-portal.finra.orgfinra.org

08/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060061440-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent Broker-Dealer CRD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cantor Fitzgerald & Co. (the "firm") 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

Reference 2006006144001finra.orgdata-portal.finra.org

03/05/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041817001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent CRD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cantor Fitzgerald & Co. ("Cantor" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2014041817001finra.orgdata-portal.finra.org

09/07/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090201999-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent Broker-Dealer CRD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cantor Fitzgerald & Co. (the "firm") 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

Reference 2009020199901data-portal.finra.orgfinra.org

08/20/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057892601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cantor Fitzgerald & Co. (Respondent) Member Firm CRD No. 134 Pursuant to FINRA Rule 9216, Respondent Cantor Fitzgerald & Co. 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 2018057892601data-portal.finra.orgfinra.org

12/05/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140438204-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent Broker-Dealer CRD No. 134 Pursuant to FINRA 9216 of FINRA's Code of Procedure, Cantor Fitzgerald & Co. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2014043820401finra.orgdata-portal.finra.org

06/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016134601 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Cantor Fitzgerald & Co., Respondent [BD No. 134] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cantor Fitzgerald & Co. ("Cantor" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

Reference 2009016134601data-portal.finra.orgfinra.org

12/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140410516-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent Broker-Dealer CRD No. 134 Pursuant to FlNRA Rule 9216 of FINRA's Code of Procedure, Respondent Cantor Fitzgerald & Co. ("CFCO" or the "firm") submits this Letter of Acceptance. Waiver and Consent ("AWC") for the purpose of proposing

Reference 2014041051601data-portal.finra.orgfinra.org

12/09/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent Broker-Dealer CRD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cantor Fitzgerald & Co. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

Reference 2012031646901data-portal.finra.orgfinra.org

04/25/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050030368-01 TO: Market Regulation Department NASD RE: Cantor Fitzgerald & Co., Respondent Broker/Dealer CRD No. 134 Pursuant to Rule 9216 of NASD Code of Procedure, Cantor Fitzgerald & Co. ("CANT") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future

Reference 2005003036801data-portal.finra.orgfinra.org

08/11/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060064912-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent Broker-Dealer CRD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cantor Fitzgerald & Co. (the "firm" or "CANT") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2006006491201data-portal.finra.orgfinra.org

08/11/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060062887-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent Broker-Dealer CRD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cantor Fitzgerald & Co. (the "firm" or "CANT") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2006006288701data-portal.finra.orgfinra.org

07/08/2025: Between September 2017 and January 2022, Cantor violated Rule 104 of Regulation M of the Securities Exchange Act of 1934 and FINRA Rule 2010 in 12 instances by filing untimely notices of its intent to engage in syndicate covering transactions. Between February 2017 and January 2022, Cantor violated FINRA Rules 5190 and 2010 in 75 instances by filing untimely or inaccurate notifications with FINRA in connection with its participation in security distributions that were subject to Regulation M under the Exchange Act. From at least February 2017 to May 2024, Cantor also violated FINRA Rules 3110(a), 3110(b), and 2010 by failing to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with Regulation M-related notification rules. For these violations, Cantor is fined $73,000...

Reference 2020068547301finra.orgdata-portal.finra.org

07/22/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCIfi, WAIVER AND CONSENT NO. 20070073097-01 TO: Department of Eenforcement Financial Industry Regulatory Aathoriry ("FINRA") RE: Cantor Fitzgerald & Co. (BD No. 134), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 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 a

Reference 2007007309701data-portal.finra.orgfinra.org

12/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130357202-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent ("Cantor" or the "Firm") BD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2013035720201data-portal.finra.orgfinra.org

04/04/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140431360-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent Broker-Dealer CRD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cantor Fitzgerald & Co. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2014043136001data-portal.finra.orgfinra.org

06/15/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016050863601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cantor Fitzgerald & Co., Respondent Member Firm CRD No. 134 Pursuant to FINRA Rule 9216, Respondent Cantor Fitzgerald & Co. (Respondent or the firm) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2016050863601data-portal.finra.orgfinra.org

08/17/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065104701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cantor Fitzgerald & Co. (Respondent) Member Firm CRD No. 134 Pursuant to FINRA Rule 9216, Respondent Cantor Fitzgerald & Co. 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 2020065104701data-portal.finra.orgfinra.org

06/02/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052741001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent Member Firm CRD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Cantor Fitzgerald & Co., ("the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2017052741001data-portal.finra.orgfinra.org

07/13/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130384020-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent Broker-Dealer CRD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure. Respondent Cantor Fitzgerald & Co. ("CFCO" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2013038402001data-portal.finra.orgfinra.org

02/17/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080163841-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cantor Fitzgerald & Co., Respondent Broker-Dealer CRD No. 134 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cantor Fitzgerald & Co. (the ''firm") 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

Reference 2008016384101data-portal.finra.orgfinra.org