Cantone Research Inc.

02/01/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019060656601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cantone Research Inc. (Respondent) Member Firm CRD No. 26314 Pursuant to FINRA Rule 9216, Respondent Cantone Research Inc. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

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09/20/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9B2004002202 TO: Department of Enforcement NASD RE: Cantone Research. Inc. BD No. 26314 766 Shrewsbury Avenue Tinton Falls, NJ 07724 Pursuant to Rule 9216 of NASD Code of Procedure, Cantone Research, Inc. ("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, NASD will not bring any future

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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.

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

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

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

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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

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02/22/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Cantone Research Inc., BD No. 26314, and Christine L. Cantone, CRD No. 2687618, Respondents. Disciplinary Proceeding No. 2009020383002 Hearing Officer-MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 22, 2012 INTRODUCTION Disciplinary Proceeding No. 2009020383002 was filed on August 8, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).

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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.

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06/29/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160487017-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cantone Research Inc., Respondent Broker-Dealer CRD No. 26314 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cantone Research Inc. (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

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