Nex Systems
Type not stated

CANACCORD GENUITY SECURITIES LLC

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    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

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.