ROBERT JOHN DENTICE

ROBERT JOHN DENTICE is currently employed as a Broker and/or Investment Adviser at CANTOR FITZGERALD & CO. located at 110 EAST 59TH STREET, 5 FLOOR ITD, NEW YORK, NY, 10022.

ROBERT JOHN DENTICE has worked at CANTOR FITZGERALD & CO. since February 13, 2008

Disclosure History

ROBERT JOHN DENTICE has 2 Disclosure Event(s).

Date: December 12, 2005
Category: Regulatory
Initiated By: UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Allegations: SEC RELEASE NO. 34-52944, DECEMBER 12, 2005; RESPONDENT WAS A CAUSE OF HIS MEMBER FIRM VIOLATION OF SECTION 15B(C)(1) OF THE EXCHANGE ACT AND MSRB RULE G-37(B) IN THAT THE FIRM MADE A $10,000 CONTRIBUTION TO THE RE-ELECTION CAMPAIGN OF FORMER CALIFORNIA GOVERNOR IN FEBRUARY 2002. DURING THE TWO-YEAR PERIOD FOLLOWING THE CONTRIBUTION, FIRM ENGAGED IN MUNICIPAL SECURITIES BUSINESS WITH THE STATE OF CALIFORNIA. FIRM ACTED AS CO-UNDERWRITER FOR TEN NEGOTIATED UNDERWRITINGS OF MUNICIPAL SECURITIES ISSUED BY THE STATE OF CALIFORNIA AND RELATED AGENCIES DURING THAT PERIOD. FIRM RECEIVED A TOTAL OF $379,852 IN FEES FROM THE STATE OF CALIFORNIA AND ITS AGENCIES FOR UNDERWRITING THESE SECURITIES, WHICH WERE SOLD FOR A TOTAL OF MORE THAN $26.6 BILLION. NO ONE AT THE FIRM TOOK ANY STEPS TO PREVENT FIRM FROM ENGAGING IN MUNICIPAL SECURITIES BUSINESS WITH THE STATE OF CA WITHIN TWO YEARS AFTER THE CONTRIBUTION.
Resolution: Order SanctionDetails:
Sanctions: Cease and Desist/Injunction Sanction Details: WITHOUT ADMITTING OR DENYING FINDINGS HEREIN, RESPONDENT CONSENTED TO THE ENTRY OF THIS ORDER. ACCORDINGLY, PURSUANT TO SECTION 21C OF THE EXCHANGE ACT, IT IS ORDERED THAT DENTICE SHALL CEASE AND DESIST FROM CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF MSRB RULE G-37 AND SECTION 15B(C)(1) OF THE EXCHANGE ACT.
Broker Comment: THE SITUATION REFERENCED IN THE ADMINISTRATIVE PROCEEDING FILE NO. 3-12125 OCURRED WHILE I WAS A NON-REGISTERED ADMINISTRATIVE EMPLOYEE.

Date: July 07, 2004
Category: Employment Separation After Allegations
Firm Name: CIBC WORLD MARKETS CORP.
Termination Type: Discharged
Allegations: ISSUES INVOLVING THE REIMBURSEMENT OF A POLITICAL CONTRIBUTION. SUBSEQUENTLY WITH RESPECT TO THE REIMBURSEMENT ITSELF, WE LEARNED FROM THE REGISTRANT'S SUPERVISOR THAT THE SUPERVISOR HAD APPROVED THE REIMBUSEMENT.

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