Christine L. Cantone

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).

Reference 2009020383002data-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 2013035130101finra.orgdata-portal.finra.orgdata-portal.finra.org