Representative fined $30,000 for ignoring incorrect know-your-client information

Knowingly buying private placements for an ineligible account also leads to suspension.

INVESTMENT | January 08 2024 04:25PM
Firm sanctioned after providing service to acquired firm’s clients

Problems associated with acquired firm costs Canaccord Genuity $500,000.

INVESTMENT | January 08 2024 10:55AM
Regulator fines representative for manipulative market activity

Also sanctioned for breaking his dealer’s rule about texting via unapproved platforms.

INVESTMENT | May 18 2023 10:44AM
Canaccord Genuity to acquire Mercer’s Canadian private wealth business

Deal is expected to add $1.5-billion to Canaccord’s total client assets.

INVESTMENT | February 02 2023 10:28AM
Former Canaccord rep sanctioned for accepting political campaign donations

Friends and family who were also clients contributed $24,900 to political campaign. Former registered representative fin…

INVESTMENT | June 15 2022 10:33AM
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Canaccord fined for overcharging fee-based accountholders

The firm admitted it overcharged more than 6,000 clients between January 2010 and November 2019.

INVESTMENT | January 11 2022 10:51AM
Canaccord buys M&A advisory firm Sawaya Partners

Deal to buy U.S. M&A advisory firm underscores Canaccord’s advisory capabilities.

INVESTMENT | December 24 2021 10:10AM