FINRA Disciplinary Actions Online

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Case ID	Case Summary	Document Type Sort descending	Firms/ Individuals	Action Date
2018059464001	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.	AWCs (Letters of Acceptance, Waiver, and Consent)	Cantor Fitzgerald & Co.	05/06/2021