Cantor Fitzgerald agrees to pay $1.4m for failing to report large traders

After several requests by the Commission’s Examination and then Enforcement staff, Cantor conducted a multiyear lookback review for accounts that should have been assigned a LTID number or have been recognized as an Unidentified Large Trader. Based on this review, Cantor detected over 100 accounts that required remediation

Carl Ayers -

July 14 2023

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