SEC, FINRA Enforcement Roundup: Cantor Fitzgerald Hit by FINRA
Among recent SEC and FINRA actions were Cantor Fitzgerald being censured and fined and FINRA imposing a $14 million settlement on a Hong Kong-based firm charged with insider trading.
NEWS & PRODUCTS, JULY 2007
Marcia Martin was named senior vice president, operations and partner support, at Cambridge Investment Research. Martin, who joined Cambridge in January 2005, assumes oversight for...