Canaccord Genuity Inc.

08/12/2015: FINANCIAL INDUSTRY REGULATORY AUTHORTY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130358262-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity Inc, Respondent Broker-Dealer CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Genuity Inc. (the ''firm" or "Respondent") submits this Letter ofAcceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2013035826201data-portal.finra.orgfinra.org

11/13/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110288918-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity Inc., Respondent Broker-Dealer CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Genuity Inc. (the ''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2011028891801data-portal.finra.orgfinra.org

09/15/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040120101 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity Inc., Respondent Broker-Dealer CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Genuity Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2014040120101finra.orgdata-portal.finra.org

01/24/2011: FINANCIAL INDUSTRY REGULATORY AUTHORIT LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080122439-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity Inc., (f/k/a Canaccord Adams Inc.) (BD No. 1020), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Genuity Inc. ("Respondent," "Canaccord" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2008012243901data-portal.finra.orgfinra.org

09/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130370495-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity Inc., Respondent Broker-Dealer CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Genuity Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2013037049501data-portal.finra.orgfinra.org

10/31/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050001370-01 TO: Department of Market Regulation NASD RE: C.E. Unterberg, Towbin, LLC, Respondent Broker-Dealer CRD No. 24790 James Thomas Whipple, Respondent Andrew Arno, Respondent CRD No. 1021807 Pursuant to Rule 9216 of NASD Code of Procedure, C.E. Unterberg, Towbin, LLC ("CEUT" of "firm") , James Thomas Whipple ("Whipple") and Andrew Arno ("Arno") (collectively, "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

Reference 2005000137001finra.orgdata-portal.finra.org

11/25/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100215875-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA ) RE: Canaccord Genuity Inc., Respondent Broker-Dealer CRD No. 1020 Pursuant to FINRA Rule 9216 of FlNRA's Code of Procedure, Canaccord Genuity Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2010021587501finra.orgdata-portal.finra.org

09/28/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080132211-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Adams Inc., Respondent Broker-Dealer CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Adams Inc. (the ''firm''), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation described below. This AWC is

Reference 2008013221101data-portal.finra.orgfinra.org

03/22/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20090170045-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity Inc. (f/k/a Canaccord Adams Inc.), Respondent Broker-Dealer CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Genuity Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2009017004501data-portal.finra.orgfinra.org

02/20/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ## 20041000253-01 TO: Department of Market Regulation NASD RE: Canaccord Adams Inc., Respondent Broker-Dealer CRD No. 1020 Pursuant to Rule 9216 of NASD Code of Procedure, Canaccord Adams Inc. (the "firm" or "ADAM") (formerly known as Adams, Harkness & Hill, Inc., and as Adams Harkness, Inc.) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2004100025301data-portal.finra.orgfinra.org

08/11/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110307621-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity Inc., as successor by business combination to Canaccord Genuity Securities LLC (f/k/a Collins Stewart LLC.), Respondent Broker-Dealer CRD No. 1020 (as successor to CRD No. 24790) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Genuity Inc., (the "firm" or "Respondent"),

Reference 2011030762101finra.orgdata-portal.finra.org

01/06/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120334774-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity Inc., Respondent Broker-Dealer CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Genuity Inc. (the "firm," "Canaccord Genuity," or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC")

Reference 2012033477401data-portal.finra.orgfinra.org

12/31/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025431701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity, Inc., Respondent Member Firm CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if

Reference 2011025431701data-portal.finra.orgfinra.org

07/07/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO 20130357679-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity Inc., Respondent Broker-Dealer CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Genuity Inc. (the "firm" or ''Respondent'") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2013035767901data-portal.finra.orgfinra.org

06/04/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2011025812401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Collins Stewart LLC (n.k.a. Canaccord Genuity Securities LLC), Respondent Member Firm BD No. 24790 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

Reference 2011025812401data-portal.finra.orgfinra.org

05/25/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 22150466008-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity Inc., Respondent Broker-Dealer CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Genuity Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and. Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2015046600801data-portal.finra.orgfinra.org

10/13/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160488552-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity Inc., Respondent Broker-Dealer CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Genuity Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2016048855201data-portal.finra.orgfinra.org

08/14/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No.20100237747-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Collins Stewart LLC (n/k/a Canaccord Genuity Inc.), Respondent Broker-Dealer CRD No. 24790 (now 1020) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Collins Stewart LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2010023774701finra.orgdata-portal.finra.org

08/11/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110307621-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity Inc., as successor by business combination to Canaccord Genuity Securities LLC (f/k/a Collins Stewart LLC.), Respondent Broker-Dealer CRD No. 1020 (as successor to CRD No. 24790) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Genuity Inc., (the "firm" or "Respondent"),

Reference 2011030762101data-portal.finra.orgfinra.org

09/22/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE WAIVER AND CONSENT NO. 20150442699-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity Inc., Respondent Broker-Dealer CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Genuity Inc. (the "firm" or ''Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2015044269901data-portal.finra.orgfinra.org

05/24/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040242501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity, Inc., Respondent CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Genuity, Inc. ("Canaccord," the "Firm" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2014040242501data-portal.finra.orgfinra.org

10/05/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130379323-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity Inc., Respondent Broker-Dealer CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Genuity Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2013037932301data-portal.finra.orgfinra.org

07/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100213904-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity Securities LLC f/k/a Collins Stewart LLC, Respondent Broker-Dealer CRD No. 24790 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Genuity Securities LLC f/k/a Collins Stewart LLC. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2010021390401data-portal.finra.orgfinra.org

09/02/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120316437-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity Inc., Respondent Broker-Dealer CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Gemlity Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

Reference 2012031643701data-portal.finra.orgfinra.org

06/20/2016: FTNANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150441160-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity Inc., Respondent Broker-Dealer CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Genuity Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2015044116001data-portal.finra.orgfinra.org

01/24/2011: FINANCIAL INDUSTRY REGULATORY AUTHORIT LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080122439-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity Inc., (f/k/a Canaccord Adams Inc.) (BD No. 1020), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Genuity Inc. ("Respondent," "Canaccord" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2008012243901data-portal.finra.orgfinra.org

09/24/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080124196-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Collins Stewart LLC, Respondent Broker-Dealer CRD No. 24790 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Collins Stewart LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2008012419601data-portal.finra.orgfinra.org

04/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016251601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity, Inc. (f/k/a Canaccord Adams, Inc.), Respondent Member Firm CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

Reference 2009016251601data-portal.finra.orgfinra.org

09/22/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150465585-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity Inc., Respondent Broker-Dealer CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Canaccord Genuity Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2015046558501data-portal.finra.orgfinra.org