Search for: "Canaccord Genuity"
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12 Sep 2022, 7:23 am
The post Canaccord Genuity Wealth Censured and Fined $200,000 for Private Placement Sales appeared first on The White Law Group. [read post]
16 Sep 2019, 10:21 am
On August 14, 2019, the Securities and Exchange Commission (“SEC”) charged Canaccord Genuity LLC (“Canaccord”) with violating gatekeeping provisions aimed to protect investors. [read post]
28 Mar 2016, 5:00 am
According to the Commission, Canaccord violated Section 5(b)(1) by failing to meet the requirements for a prospectus under Securities Act Section 10 or qualifying for any of the safe harbors governing the publication or distribution of research reports (In the Matter of Canaccord Genuity Inc., Release No. 33-10059, March 24, 2016).According to the Commission, Canaccord initiated research coverage of an issuer soon after the issuer invited Canaccord to… [read post]
13 Jul 2015, 10:05 pm
Only one year ago, Canaccord Genuity estimated that Apple received 65% of smartphone profits. [read post]
6 Mar 2015, 7:05 am
Instead, it hired two advisers — Canaccord Genuity Group Inc. and Seaport Global Holdings LLC — to negotiate with bondholders on a plan to restructure its debt. [read post]
19 Aug 2019, 2:00 am
Canaccord Genuity LLC had written policies and procedures that said the right things about complying with those rules. [read post]
20 Mar 2015, 5:36 am
” Canaccord Genuity analyst Dvai Ghose suggests even bigger declines of $9 to $21 for some customers. [read post]
12 Sep 2011, 6:54 pm
“People including our government put blinders on and did not want to believe in the obvious,” Jonathan Dorsheimer, an analyst in Boston for Canaccord Genuity Inc. of Vancouver, said in an interview with Bloomberg Government. [read post]
21 Jul 2021, 12:49 pm
Citigroup Global Markets, Inc. and Jefferies LLC are also acting as book-running managers for the offering, and Canaccord Genuity LLC, Cowen and Company, LLC, Needham & Company LLC, Stifel, Nicolaus & Company, Incorporated and Loop Capital Markets LLC are acting as co-managers for the offering. [read post]
5 Sep 2013, 6:30 pm
., Canaccord Genuity Corp., GMP Securities LP, and Mackie Research Capital Corporation (the “Underwriting Syndicate”); (b) approval of three settlements; (c) ancillary orders, including the appointment of an administrator; (d) approval of the notice program; and (e) approval of the plan of distribution (the “Plan of Allocation”) for the settlement funds. [read post]
3 May 2021, 9:35 am
” The Offering is being made through a syndicate of underwriters led by BMO Capital Markets and Canaccord Genuity Corp, as co-lead underwriters and joint bookrunners, and CIBC Capital Markets, National Bank Financial Inc., RBC Dominion Securities Inc. and Scotiabank (collectively, the “Underwriters”). [read post]
