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CANTOR FITZGERALD & CO.
Information
- Reporter ID
- WSMM
- Reporter Type
- OTC Market Maker
- Current Report URL
- https://disclosure.bestxstats.com/csti/605/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-03-2026 | https://disclosure.bestxstats.com/csti/605/ |
2025084815701 Tory A Duggins CRD 4556340 OHO Decision df.pdf
Respondent is barred from associating with any FINRA member firm in any capacity for failing to appear for on-the-record testimony requested in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010.
2023078835001 Tejinder Singh CRD 2547590 OHO Decision df.pdf
Respondent Tejinder Singh violated FINRA Rules 8210 and 2010 by providing incomplete responses to FINRA’s requests for information and documents and by failing to appear for on-the-record testimony requested in connection with a FINRA investigation. For this misconduct, Singh is barred from associating with any FINRA member firm in any capacity.
FINRA Announces Results of Board of Governors Elections
WASHINGTON—FINRA announced today the results of its Board of Governors elections during its annual meeting of member firms on Monday.
THRIVENT INVESTMENT MANAGEMENT INC.
Information
- Reporter ID
- TIMI
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://www.thrivent.com/privacy-and-security/disclosures
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 07-17-2026 | https://www.thrivent.com/privacy-and-security/disclosures |
ONECHRONOS
Information
- Reporter ID
- CGXS
- Reporter Type
- Alternative Trading System
- Current Report URL
- https://www.onechronos.com/legal/regulatory/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 07-17-2026 | https://www.onechronos.com/legal/regulatory/ |
