KANE H WALLER

KANE H WALLER is currently employed as a Broker and/or Investment Adviser at CANACCORD GENUITY LLC located at 99 HIGH STREET, 12TH FLOOR, BOSTON, MA, 02110.

KANE H WALLER has worked at CANACCORD GENUITY LLC since October 04, 2017

Disclosure History

KANE H WALLER has 3 Disclosure Event(s).

Date: November 30, 2017
Category: Regulatory

Date: September 29, 2017
Category: Investigation
Initiated By: FINRA Description of Investigation: It is in reference to the U5 disclosure from my previous firm.

Date: July 07, 2017
Category: Employment Separation After Allegations
Firm Name: FIDELITY INVESTMENTS
Termination Type: Permitted to Resign
Allegations: Concerns relating to a handful of instances in which the representative disclosed other customers' block order information to another customer on the same side of the market and his subsequent handling of that customer's orders

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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