SEC
Whistleblower
Attorneys

June 29, 2018

Cantor Fitzgerald & Co., Adam Mattessich, Joseph (a/k/a Jay) Ludovico

Financial Fraud

SANCTION AMOUNT: $1250000

Defendants: Cantor Fitzgerald & Co.
Adam Mattessich, Joseph (a/k/a Jay) Ludovico

Settlement on the part of the entity broker-dealer of charges based on the conduct of a former supervisor and two traders who reported to him. Allegedly, pursuant to an improper commission-splitting scheme, the supervisor received off-book payments from the traders.

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