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December 28, 2015
FINRA fined Cantor Fitzgerald & Co. $6 million and ordered disgorgement of almost $1.3 million in commissions for its sale of billions of unregistered shares in thinly traded microcap shares. FINRA also sanctioned the firm for failing to have in place adequate supervisory or anti-money laundering (AML) programs tailored to detect red flags or suspicious...
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