Canaccord Genuity LLC

03/06/2026: Canaccord failed to supervise trillions of shares of equity transactions in low-priced, over-the-counter securities for compliance with an array of concerns crucial to the fair and efficient functioning of markets, in violation of FINRA Rules 3110 and 2010. For trade surveillance, Canaccord relied on an underqualified, inexperienced, and under-resourced trading compliance group that was not reasonably supervised. From October 2016 to May 2022, that group failed to review most of the firm’s trade surveillance reports for extended periods, some for months or years at a time. From October 2016 to November 2025, Canaccord also failed to develop and implement an anti-money laundering (AML) program reasonably designed to achieve and monitor the firm’s compliance with the requirements of the Bank Secrecy Act, in violation of FINRA Rules 3310 and 2010. Canaccord did not: (1) establish and implement policies and procedures reasonably expected to detect and cause the reporting of suspicious transactions; ...

Reference 2020066079906data-portal.finra.orgfinra.org

07/23/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048607401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Canaccord Genuity LLC, Respondent Member Firm CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Canaccord Genuity LLC (Canaccord or the Respondent) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2016048607401data-portal.finra.orgfinra.org

Reference 2026-01fincen.gov

10/21/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057116501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Canaccord Genuity LLC, Respondent Member Firm CRD No. 1020 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Canaccord Genuity LLC ("Canaccord," "Respondent" or 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 2018057116501data-portal.finra.orgfinra.org