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May 16, 2011
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Blog, Securities Fraud
Rafferty Capital Markets, LLC (CRD #23682, Garden City, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $87,500 and required to revise its written supervisory procedures regarding TRACE and municipal securities reporting, and books and records compliance.
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May 16, 2011
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Blog, Securities Fraud
Cantor Fitzgerald & Co. (CRD #134, New York, New York) recently submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $15,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it failed to report the
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