Knowingly buying private placements for an ineligible account also leads to suspension.
Problems associated with acquired firm costs Canaccord Genuity $500,000.
Also sanctioned for breaking his dealer’s rule about texting via unapproved platforms.
Deal is expected to add $1.5-billion to Canaccord’s total client assets.
Friends and family who were also clients contributed $24,900 to political campaign. Former registered representative fin
The firm admitted it overcharged more than 6,000 clients between January 2010 and November 2019.
Deal to buy U.S. M&A advisory firm underscores Canaccord’s advisory capabilities.