Our Staff has compiled our research into a database of FINRA Broker Disclosures for Canaccord Genuity LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Kane H Waller | 4537969 | 3 | 04/16/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kane H Waller | 4537969 | 3 | 12/02/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frank Aflitto | 5688875 | 3 | 05/01/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Maximilian Henry Brooks Bonsall | 6521223 | 1 | 03/13/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Esther Ye Eun Lee | 6975557 | 1 | 10/15/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William John Plovanic | 2258938 | 1 | 10/09/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edward Matthew Berkery | 2380736 | 1 | 08/28/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kane H Waller | 4537969 | 3 | 07/07/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Leonardo Laport de Noli Vergueiro | 6868260 | 1 | 02/25/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gordon Philip Wright | 5532177 | 5 | 08/26/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |