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20 - ORGANIZATIONS/PRIVATE/BGC Group.md
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@ -96,6 +96,11 @@ relations:
role: "SEC settlement order of July 17, 2018 ($1.25 million, willful books and records violations), as recited in the CFTC order of November 22, 2019"
start: 2018-07-17
fn: 11
- type: subject_of
with: "[[Financial Industry Regulatory Authority]]"
start: 2024-06-17
role: "award in arbitration 22-02539: BGC Financial, L.P. \"solely liable for and shall pay to Claimant the sum of $500,000.00 in compensatory damages\"; hearing session fees of $39,375 assessed to BGC Financial, L.P."
fn: 14
created: 2026-10-04
updated: 2026-10-04
---
@ -144,17 +149,23 @@ On November 22, 2019 the CFTC announced an order against BGC Financial, L.P., "a
The [[BBC]] reported on July 14, 2026 that Simon Andriesz, 57, "previously a managing director at a Wall Street firm," had been employed by BGC Partners, "part of Lutnick's Cantor Fitzgerald group." According to the BBC, Andriesz raised concerns internally in 2016 about accounting irregularities, was dismissed in 2017, and later spoke to the FBI. The BBC wrote that "some of his allegations later led to BGC being ordered to pay a $3m (£2.24m) penalty by the US derivatives regulator for 'numerous supervision, reporting, and record-keeping violations.'" The CFTC's release of November 22, 2019 (8083-19) uses that wording and names no individual who provided information. BGC told the BBC that Andriesz's allegations "lacked credibility" and were "categorically false," that the claims had been investigated by authorities in several jurisdictions which, in BGC's account, had not substantiated them, and that it denied retaliating against him. BGC said his employment ended "after he refused to follow medical advice, declined to perform essential job duties, rejected reasonable accommodation, and ultimately abandoned his role." The BBC added that Andriesz said he had won a financial award of $420,000 from the US regulator and that, in its words, "The FBI did not investigate these accusations."[^12]
The [[Transparency Task Force]], a [[United Kingdom]] campaign group, announced an event on July 21, 2026 at which Andriesz was to speak on the role of the [[Financial Conduct Authority]]. Its page states that he "spent 35 years in the securities industry," that his FBI file became public in the January 2026 release under the [[Epstein Files Transparency Act]], that the CFTC "made him a formal whistleblower award," and that the FCA's response was "a Supervision Order." Those statements are the Task Force's and Andriesz's own.[^13]
The records of the proceedings brought by Andriesz are as follows. In FINRA arbitration 19-01751, filed on or about June 19, 2019, BGC Financial, L.P. was the first of fourteen respondents, which included Cantor Fitzgerald & Co., Howard Lutnick and Jean-Pierre Aubin; the panel dismissed the case without prejudice on August 8, 2022 on the ground that the parties had "jointly requested, or agreed to, more than two postponements." In the renewed arbitration, 22-02539, the panel's award of June 17, 2024 provided: "Respondent BGC Financial, L.P., is solely liable for and shall pay to Claimant the sum of $500,000.00 in compensatory damages," and "[a]ll other claims against remaining Respondents Cantor Fitzgerald & Co., Jean Pierre Aubin, Mark Webster, Paul Marc Pion, and William Michael Shields, are dismissed in their entirety." The award states no reasons.[^13][^14]
[[The Banker]] reported on October 2, 2026, in an article by [[Chris Newlands]], that Andriesz, 57, "has died by suicide." The article attributes the news of his death to [[Andy Agathangelou]], founder of the Transparency Task Force: "It is with great sadness that we share the news that Simon Andriesz, a valued member of our community, passed away last week."[^14]
Andriesz petitioned the [[United States District Court for the Southern District of New York]] to vacate, modify or remand the award. BGC's brief of December 6, 2024 argued that the petition was untimely and that the award should stand. In an opinion of April 23, 2025 [[Lewis J. Liman|Judge Lewis J. Liman]] held that the petition was untimely because Andriesz did not serve BGC within three months of the filing of the award, and, in the alternative, that it "would still fail on the merits"; the judgment of April 24, 2025 denied the motion and dismissed the petition. The opinion records that Andriesz was employed under a contract of January 21, 2015 "as Managing Director from February 1, 2015, through February 1, 2019," and that BGC says his employer was its United Kingdom affiliate, BGC Brokers, L.P. The appeal to the [[United States Court of Appeals for the Second Circuit]] (25-1341) ended with the issue of the mandate on August 28, 2025.[^15][^16]
In Employment Tribunal case 3200408/2025, in which BGC Partners LP, Lutnick and Aubin were the respondents, the judge struck out the whole claim as presented out of time, with an alternative holding that it would have been struck out as an abuse of process; the written reasons are dated August 11, 2026 and find that his employment terminated on January 31, 2017. The BBC wrote that BGC "says it has had no involvement with him since his departure other than responding to litigation he has initiated."[^12] The award of June 17, 2024 orders BGC Financial, L.P. to pay $500,000 in compensatory damages, and the tribunal's written reasons of August 11, 2026 strike out the claim before it in its entirety.[^14][^17]
The [[Transparency Task Force]], a [[United Kingdom]] campaign group, announced an event on July 21, 2026 at which Andriesz was to speak on the role of the [[Financial Conduct Authority]]. Its page states that he "spent 35 years in the securities industry," that his FBI file became public in the January 2026 release under the [[Epstein Files Transparency Act]], that the CFTC "made him a formal whistleblower award," and that the FCA's response was "a Supervision Order." Those statements are the Task Force's and Andriesz's own.[^18]
[[The Banker]] reported on October 2, 2026, in an article by [[Chris Newlands]], that Andriesz, 57, "has died by suicide." The article attributes the news of his death to [[Andy Agathangelou]], founder of the Transparency Task Force: "It is with great sadness that we share the news that Simon Andriesz, a valued member of our community, passed away last week."[^19]
### The 2020 FBI Complaint
The [[United States Department of Justice|Justice Department]]'s [[Jeffrey Epstein|Epstein]] library contains an FBI FD-71A Guardian complaint form dated April 23, 2021 (EFTA01249210, DataSet 9), titled "Alleged Money Laundering by Howard Lutnick via BGC Financial and Cantor Fitzgerald," filed under a money-laundering zero file and under case 50D-NY-3027571, "EPSTEIN, JEFFREY; CHILD SEX TRAFFICKING." The caller's name is redacted in that file. A second release, EFTA01684300 in DataSet 10, a spreadsheet printout of Guardian complaints, carries the text "24 AM Eastern Time, Simon Andriesz, date of birth" and, at EFTA01684391, "Andriesz, calling from the United Kingdom, previously worked for BGC Financial (BGC) and Can," the text of the entry being cut off at the cell edge. The call time in the form itself is "9:16:24 AM Eastern Time" on October 14, 2020.[^5][^15]
The [[United States Department of Justice|Justice Department]]'s [[Jeffrey Epstein|Epstein]] library contains an FBI FD-71A Guardian complaint form dated April 23, 2021 (EFTA01249210, DataSet 9), titled "Alleged Money Laundering by Howard Lutnick via BGC Financial and Cantor Fitzgerald," filed under a money-laundering zero file and under case 50D-NY-3027571, "EPSTEIN, JEFFREY; CHILD SEX TRAFFICKING." The caller's name is redacted in that file. A second release, EFTA01684300 in DataSet 10, a spreadsheet printout of Guardian complaints, carries the text "24 AM Eastern Time, Simon Andriesz, date of birth" and, at EFTA01684391, "Andriesz, calling from the United Kingdom, previously worked for BGC Financial (BGC) and Can," the text of the entry being cut off at the cell edge. The call time in the form itself is "9:16:24 AM Eastern Time" on October 14, 2020.[^5][^20]
The form records that the caller "was responsible for reviewing, reporting, and compliance for all of North America," and "uncovered fraud, money laundering, Ponzi schemes, and regulatory breaches," so that "he became a whistleblower"; that the caller said BGC and Cantor "received large fines and there are 'live cases' still occurring in the United Kingdom"; and that the caller "believes he has supporting documents which could link Lutnick to Jeffrey Epstein and [[Ghislaine Maxwell]]." It records the allegation of "a 'global Ponzi share' scheme involving over 3,500 BGC employees who are forced to contribute 10% of their earnings into the scheme," and that "Epstein also sold Lutnick a house for $10 dollars through a trust fund, which was then sold for millions shortly after prior to the money going overseas," as well as a statement that the caller "believes its suspicious Lutnick's contributed over 65 million dollars to [[Haverford College]] in New York, although he cannot prove any illegal activity concerning this aspect." The form notes 26 results for Lutnick in Sentinel and Guardian queries in the New York division case files, including a restricted closed case "concerning money laundering" and a control file "concerning a RICO violations/real estate scheme," and 34 results in a DIVS query "including three SAR's," and states that "Queries were not conducted on Epstein and Maxwell due to the sensitive nature of the case."[^5] The allegations are those of the caller; the form records no verification.
An email dated July 24, 2025, in the same library, carries a digest of tips with an entry under the heading "Howard Lutnick": "Simon Andriesz reported that Lutnick made his money through Ponzi schemes and money laundering. Lutnick and Epstein were neighbors and Epstein sold Lutnick a home for $10 which was then sold for millions."[^16] The Commerce Department told the BBC the allegations were "a desperate partisan distraction from the historic work of this Administration" and that there was "no evidence of wrongdoing or legitimate cause for concern."[^12] The BBC reported that Andriesz searched the library for "HWL" and found 2018 emails between Epstein and that account, among them the May 28, 2018 exchange in which Epstein asked "what do you think the prospects for adfin are?"; the AdFin documents and Lutnick's May 6, 2026 testimony on them are set out at Cantor Fitzgerald.[^12]
An email dated July 24, 2025, in the same library, carries a digest of tips with an entry under the heading "Howard Lutnick": "Simon Andriesz reported that Lutnick made his money through Ponzi schemes and money laundering. Lutnick and Epstein were neighbors and Epstein sold Lutnick a home for $10 which was then sold for millions."[^21] The Commerce Department told the BBC the allegations were "a desperate partisan distraction from the historic work of this Administration" and that there was "no evidence of wrongdoing or legitimate cause for concern."[^12] The BBC reported that Andriesz searched the library for "HWL" and found 2018 emails between Epstein and that account, among them the May 28, 2018 exchange in which Epstein asked "what do you think the prospects for adfin are?"; the AdFin documents and Lutnick's May 6, 2026 testimony on them are set out at Cantor Fitzgerald.[^12]
### Footnotes
@ -170,7 +181,12 @@ An email dated July 24, 2025, in the same library, carries a digest of tips with
[^10]: U.S. Commodity Futures Trading Commission, Order Instituting Proceedings Pursuant to Section 6(c) and (d) of the Commodity Exchange Act, Making Findings, and Imposing Remedial Sanctions, in the matter of GFI Securities, LLC, September 30, 2019. https://www.cftc.gov/media/2666/%20enfgfisecuritiesorder093019/download
[^11]: U.S. Commodity Futures Trading Commission, Order Instituting Proceedings Pursuant to Section 6(c) and (d) of the Commodity Exchange Act, Making Findings, and Imposing Remedial Sanctions, in the matter of BGC Financial, L.P., November 22, 2019. https://www.cftc.gov/media/3071/enfbgcfinanciallporder112219/download
[^12]: Verity, Andy, Rob Byrne and Ben Milne. "How US commerce secretary's Epstein links were uncovered by British whistleblower." *BBC News,* July 14, 2026. https://www.bbc.co.uk/news/articles/c9q28dlyxrzo ; programme page, "Epstein Files: Lutnick, the Royals and the British Whistleblower," *File on 4 Investigates,* BBC Radio 4, July 14, 2026. https://www.bbc.co.uk/programmes/m002yx47
[^13]: Transparency Task Force, "The Simon Andriesz Story; and the Role of the Financial Conduct Authority," event of July 21, 2026. https://transparencytaskforce.org/the-simon-andriesz-story-and-the-role-of-the-financial-conduct-authority/
[^14]: Newlands, Chris. "Whistleblower who flagged Lutnick's links to Epstein dies." *The Banker,* October 2, 2026. https://www.thebanker.com/content/02286d53-0338-42ef-996d-5f7712b9f133
[^15]: U.S. Department of Justice, Epstein Library, EFTA01684300, DataSet 10, compilation of FBI Guardian complaints, pages EFTA01684361 to EFTA01684437. https://www.justice.gov/epstein/files/DataSet%2010/EFTA01684300.pdf
[^16]: U.S. Department of Justice, Epstein Library, EFTA01648946, DataSet 10, email of July 24, 2025. https://www.justice.gov/epstein/files/DataSet%2010/EFTA01648946.pdf
[^13]: FINRA Dispute Resolution Services, Award, Arbitration No. 19-01751, Simon D. Andriesz v. BGC Financial, L.P., et al., served September 12, 2022, filed as docket 27-1, Andriesz v. BGC Financial, L.P., No. 1:24-cv-07004 (S.D.N.Y.), December 6, 2024. https://www.courtlistener.com/docket/69166995/andriesz-v-bgc-financial-lp/
[^14]: FINRA Dispute Resolution Services, Award, Arbitration No. 22-02539, June 17, 2024, filed as docket 36-2, Andriesz v. BGC Financial, L.P., No. 1:24-cv-07004 (S.D.N.Y.), January 2, 2025, pp. 8-12. https://www.courtlistener.com/docket/69166995/andriesz-v-bgc-financial-lp/
[^15]: Opinion and Order, Andriesz v. BGC Financial, L.P., No. 24-cv-7004 (LJL) (S.D.N.Y. April 23, 2025), docket 37, pp. 1-4, 7-12; Judgment, docket 38, April 24, 2025; Respondent's Memorandum of Law in Opposition to the Petition, docket 26, December 6, 2024. https://www.courtlistener.com/docket/69166995/andriesz-v-bgc-financial-lp/
[^16]: United States Court of Appeals for the Second Circuit, Order, Andriesz v. BGC Financial, L.P., No. 25-1341, June 16, 2025, with mandate issued August 28, 2025 (S.D.N.Y. docket 40). https://www.courtlistener.com/docket/69166995/andriesz-v-bgc-financial-lp/
[^17]: Employment Tribunals (England and Wales), Mr S Andriesz v BGC Partners LP and others, case 3200408/2025, Written Reasons of Employment Judge B Beyzade, dated August 11, 2026, paragraphs 44, 48, 70, 75 and 82. https://www.gov.uk/employment-tribunal-decisions/mr-s-andriesz-v-bgc-partners-lp-and-others-3200408-slash-2025
[^18]: Transparency Task Force, "The Simon Andriesz Story; and the Role of the Financial Conduct Authority," event of July 21, 2026. https://transparencytaskforce.org/the-simon-andriesz-story-and-the-role-of-the-financial-conduct-authority/
[^19]: Newlands, Chris. "Whistleblower who flagged Lutnick's links to Epstein dies." *The Banker,* October 2, 2026. https://www.thebanker.com/content/02286d53-0338-42ef-996d-5f7712b9f133
[^20]: U.S. Department of Justice, Epstein Library, EFTA01684300, DataSet 10, compilation of FBI Guardian complaints, pages EFTA01684361 to EFTA01684437. https://www.justice.gov/epstein/files/DataSet%2010/EFTA01684300.pdf
[^21]: U.S. Department of Justice, Epstein Library, EFTA01648946, DataSet 10, email of July 24, 2025. https://www.justice.gov/epstein/files/DataSet%2010/EFTA01648946.pdf