SEC
Whistleblower
Attorneys

July 17, 2018

BGC Financial, L.P.

Financial Fraud

SANCTION AMOUNT: $1250000

Defendants: BGC Financial, L.P.

Respondent broker-dealer agreed to settle charges that it failed to preserve audio files sought by the SEC, and inaccurately recorded in its books and records certain travel, entertainment, and other expenses that lacked sufficient business purpose (they appeared to be rewards for brokers) as "selling and promotion."

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