Christine Cantone

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

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.orgfinra.orgdata-portal.finra.org