US Edition2024083981001 Thomas Sapio CRD 1848346 AWC lp.pdf
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2024083981001 Thomas Sapio CRD 1848346 AWC lp.pdf
From April 2022 through August 2022, Sapio failed to reasonably supervise two traders who were inaccurately marking the value of positions on their trading books to conceal from Cantor millions of dollars in unrealized losses. For his violations of FINRA Rules 3110 and 2010, Sapio is suspended in all principal capacities for two months, fined $5,000, and required to complete ten hours of continuing education concerning supervisory responsibiliti…
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