Anthony Neil Wenham

03/26/2025: It has been determined that the Offer be accepted and that findings be made as follows: Between June 13, 2022, and August 26, 2022 (relevant period), while he was associated with Cantor Fitzgerald & Co. (Cantor), Respondent Anthony Neil Wenham recorded or caused to be recorded 440 inaccurate marks for four forward start reverse repurchase positions (Positions 1-4) in his trading book at the firm, thereby concealing unrealized losses. By reason of the foregoing, Wenham falsified firm records and therefore violated FINRA Rule 2010....

10/10/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. ANTHONY NEIL WENHAM CRD No. 4531762, Respondent. Disciplinary Proceeding No. 2022073296301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between June 13, 2022, and August 26, 2022 (relevant period), while he was associated with Cantor Fitzgerald & Co. (Cantor), Respondent Anthony Neil Wenham recorded or caused to be recorded 440 inaccurate marks for four forward start reverse repurchase positions (Positions 1-4) in his trading book at the firm, thereby concealing unrealized losses. By reason of the foregoing, Wenham falsified firm records and therefore violated FINRA Rule 2010.

Reference 2022073296301data-portal.finra.orgdata-portal.finra.orgfinra.org