Fined: Canaccord Genuity LLC Fined by FINRA

Fined

Canaccord Genuity LLC Fined by FINRA

An AWC was issued in which the firm was censured and fined $80,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to timely close out fail to deliver positions and executed short sale orders while in the penalty box.

Read full report.