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
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