康托尔·菲茨杰拉德（Cantor Fitzgerald

金融行业监管局（FINRA）正在命令坎托·菲茨杰拉德（Cantor Fitzgerald）在2011年和2012年卖出数十亿股未注册的微型股票的股票支付730万美元。该公司还因没有适当的监督 /反钱计划而面临制裁可疑活动或与微型胶卷活动有关的危险信号。

According to the self-regulatory organization, the Cantor Fitzgerald’s supervisory system was not designed in a reasonable enough manner to fulfill its obligation to assess whether the microcap securities it was liquidating for clients were SEC-registered or, if not, then were subject to a registration exemption. FINRA said that after Cantor Fitzgerald decided to broaden its microcap liquidity business in 2011, it did not make sure its supervisory system had a meaningful and reasonable way to determine whether the sales of these securities occurred in compliance with the law. Also, said the regulator, the firm did not provide proper guidance and training about how or when to look into whether a sale was exempt from SEC registration, and supervisors were not given the tools that they needed to identify when red flags were an indicator of unregistered, illegal distributions.

FINRA，Cantor Fitzgerald和Equity交易员Joseph Ludovico表示，因此，在没有适当的尽职调查和审查的情况下出售了数十亿股薄薄的微型股票证券。bob200体育Ludovico已被停职两个月，必须支付25,000美元的罚款。该公司的股本资本市场执行董事杰里德·凯斯勒（Jarred Kessler）被停职三个月。他必须为监督失败支付35,000美元的罚款。

康托尔·菲茨杰拉德（Cantor Fitzgerald）将支付600万美元的罚款和近130万美元的委员会和利息。该公司正在不否认或承认这些指控。然而，坎托·菲茨杰拉德（Cantor Fitzgerald）同意监管机构的调查结果。

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FINRA制裁Cantor Fitzgerald＆Co。730万美元用于出售数十亿股未注册的微型股票，以及针对相关监督和AML违规行为，FINRA，2015年12月21日