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2018059464001 Cantor Fitzgerald & Co. CRD 134 AWC va (2021-1622938822525).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059464001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cantor Fitzgerald & Co. (Respondent or Cantor) Member Firm CRD No. 134 Pursuant to FINRA Rule 9216, Respondent Cantor Fitzgerald & Co. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
2019062972401 UnionBanc Investment Services, LLC CRD 14455 AWC sl (2021-1622938822541).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019062972401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: UnionBanc Investment Services, LLC (Respondent)
Member Firm
CRD No. 14455
Pursuant to FINRA Rule 9216, Respondent UnionBanc Investment Services, LLC (“UBIS”) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.