JOHN GANNON LEITCH is currently employed as a Broker and/or Investment Adviser at CANACCORD GENUITY LLC located at 535 MADISON AVENUE, NEW YORK, NY, 10022.
JOHN GANNON LEITCH has worked at CANACCORD GENUITY LLC since June 19, 2012
Disclosure History
JOHN GANNON LEITCH has 1 Disclosure Event(s).
Date: February 01, 2007 Category: Regulatory Initiated By: NASD Allegations: NASD RULES 1031, 2110 - JOHN LEITCH ENGAGED IN HIS MEMBER FIRM'S INVESTMENT BANKING OR SECURITIES BUSINESS AND FAILED TO REGISTER IN THE CATEGORY APPROPRIATE TO THE FUNCTION TO BE PERFORMED AS SPECIFIED IN NASD MEMBERSHIP AND REGISTRATION RULE 1032. Resolution: Acceptance, Waiver & Consent(AWC) SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) Regulator Statement: WITHOUT ADMITTING OR DENYING THE FINDINGS, LEITCH CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS; THEREFORE, HE IS FINED $5,000. FINES PAID.
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