Firm profile

Canaccord Genuity Wealth Management

VANCOUVER, BC, CanadaCRD 7449Registration Status: ApprovedEffective since November 2, 2015SEC # 801-106809Latest ADV June 30, 2026

Canaccord Genuity Wealth Management is an SEC registered investment adviser organized as a corporation with a primary office location in Vancouver, BC, Canada. Its latest Form ADV filing, dated June 30, 2026, reports $135M in regulatory assets under management, 32 employees, 7 offices, and 114 accounts.

Assets Under Management

$135M

Employees

Offices

7 offices

Total Clients

Associated firm names

8 names listed

CANACCORD CAPITAL CORPORATION USA, INC.
NORAM INVESTMENT SERVICES, INC.
EQUITY SECURITIES TRADING CO., INC.
CANACCORD WEALTH MANAGEMENT (USA) INC.

Leadership

2 roles identified

CCOSelim Begis

CFODonald Duncan Macfayden

Advisory services offered

1 types reported

Portfolio management for individuals and small businesses

Fee models offered

1 types reported

Asset based fees

Offices & Contact

Primary office

VANCOUVER, BC, Canada

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

View locations

Canada

VANCOUVER, BCPrimary office · MONTREAL · EDMONTON · WINNIPEG · TORONTO · CALGARY · OAKVILLE, ON

7 office records listed · 7 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Phone604-643-7300

WebsiteNot found

LinkedInNot found

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$135Mas of June 30, 2026

Discretionary100.0%

$135M

100% of total RAUM100.0%

Non-discretionary0.0%

0% of total RAUM0.0%

All regulatory assets under management are discretionary.

Client Coverage Demographics

Top client segmentIndividuals represent 60.0% of total clients.

Top client categories% of clientsClients

Individuals

60.0%

HNWI

36.3%

Corporations

3.8%

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$135M

Total Accounts114

10Y AUM Change+$135M

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees32

Clients per Employee3:1

10Y Employee Change+15 (+88.2%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%

CANACCORD ADAMS FINANCIAL GROUP INC.Direct owner · Schedule AInterest in CANACCORD GENUITY WEALTH MANAGEMENT

75%+

CANACCORD GENUITY GROUP INC.Indirect owner · Schedule BInterest in CANACCORD ADAMS FINANCIAL GROUP INC.

75%+

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Canaccord Genuity Wealth Management.

Reported ownership and control details

Form ADV · Filing date 2026-06-30 · Schedules A and B

6 entries

#	Owner / person & role	Interest in entity	Reported interest	Control person	Title / status acquired	Source
1	CANACCORD ADAMS FINANCIAL GROUP INC.EQUITY OWNERDomestic entity	CANACCORD GENUITY WEALTH MANAGEMENT	75% or moreCode E	Yes	EQUITY OWNER07/1999	Schedule APDF page 24
2	DONALD DUNCAN MACFAYDENCFO, FINANCIAL PRINCIPALIndividual	CANACCORD GENUITY WEALTH MANAGEMENT	Less than 5%Code NA	Yes	CFO, FINANCIAL PRINCIPAL05/2008	Schedule APDF page 24
3	THOMAS WILLIAM JR COXPRESIDENTIndividual	CANACCORD GENUITY WEALTH MANAGEMENT	Less than 5%Code NA	Yes	PRESIDENT08/2014	Schedule APDF page 24
4	DONALD DUNCAN MACFAYDENOPERATIONS PRINCIPALIndividual	CANACCORD GENUITY WEALTH MANAGEMENT	Less than 5%Code NA	Yes	OPERATIONS PRINCIPAL12/2021	Schedule APDF page 24
5	SELIM BEGISINTERIM CHIEF COMPLIANCE OFFICERIndividual	CANACCORD GENUITY WEALTH MANAGEMENT	Less than 5%Code NA	Yes	INTERIM CHIEF COMPLIANCE OFFICER07/2025	Schedule APDF page 24
6	CANACCORD GENUITY GROUP INC.EQUITY OWNERForeign entity	CANACCORD ADAMS FINANCIAL GROUP INC.	75% or moreCode E	Yes	EQUITY OWNER11/2011	Schedule BPDF page 25

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 6/30/2026 8:30:07 PM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo

AFelonies2 No

In the past ten years, have you or any advisory affiliate:

A1Been convicted of or pleaded guilty or no contest to a felony?No
A2Been charged with a felony?No

BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
B2Been charged with a misdemeanor of the kind listed above?No

CSEC or CFTC actions4 Yes1 No

Has the SEC or CFTC ever:

C1Found you or an advisory affiliate made a false statement or omission?Yes
C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?Yes
C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
C4Entered an order against you or an advisory affiliate in connection with investment-related activity?Yes
C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?Yes

DOther regulatory actions2 Yes3 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
D2Found you or an advisory affiliate violated investment-related regulations or statutes?Yes
D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?Yes

ESelf-regulatory organization actions1 Yes3 No

Has a self-regulatory organization or commodities exchange ever:

E1Found you or an advisory affiliate made a false statement or omission?No
E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?Yes
E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No

FProfessional authorizations1 No

FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No

GPending regulatory proceedings1 No

GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No

HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

Additional DRP filings 18 source blocks

Verbatim excerpts from supporting DRP filings, which may concern the firm or advisory affiliates. Amounts retain their filed labels; no total or attribution is inferred.

regulatory · block 1CANACCORD GENUITY SECURITIES LLCPDF pages 25–27

Advisory affiliate name — filed text: CANACCORD GENUITY SECURITIES LLC

Full extracted filing text

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
24790
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
CANACCORD GENUITY
SECURITIES LLC
(For individuals, Last, First,

Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
2.
Principal Sanction:
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
11. Resolution Date (MM/DD/YYYY):
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:

Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).

regulatory · block 2PDF pages 27–28

Regulator name — filed text: NASD DISTRICT 6 BUSINESS CONDUCT COMMITTEE.
Monetary/Fine Amount — filed text: $ 250.00
How was matter resolved — filed text: Settled

Action status / disposition — filed text

THIS WAS A FAILURE TO INCLUDE ON MUNICIPAL UNDERWRITTING IN WHICH SOUTHWEST ACTED AS MANAGER. WE HAVE SINCE PUT IN PLACE PROCEDURES TO PREVENT THIS FROM HAPPENING IN THE FUTURE.

Other filed details

Description of allegations — filed text

VIOLATION OF MSRB RULE G37/G-38.

Sanction detail — filed text

AWC W/$250 FINE

Full extracted filing text

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
No Information Filed
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
NASD DISTRICT 6 BUSINESS CONDUCT COMMITTEE.

2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
09/18/1996
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
C0690016
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
SOUTHWEST SECURITIES INC.
6.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
VIOLATION OF MSRB RULE G37/G-38.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Settled
11. Resolution Date (MM/DD/YYYY):
11/28/1996
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 250.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
AWC W/$250 FINE
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
THIS WAS A FAILURE TO INCLUDE ON MUNICIPAL UNDERWRITTING IN WHICH SOUTHWEST ACTED AS MANAGER. WE HAVE SINCE PUT IN PLACE
PROCEDURES TO PREVENT THIS FROM HAPPENING IN THE FUTURE.

regulatory · block 3COX, THOMAS WILLIAM JRPDF pages 28–30

Advisory affiliate name — filed text: COX, THOMAS WILLIAM JR
Regulator name — filed text: VANCOUVER STOCK EXCHANGE
Monetary/Fine Amount — filed text: $ 10,000.00
How was matter resolved — filed text: Settled

Other filed details

Description of allegations — filed text

CONTRAVENED VSE RULE F.1.02 BY ACCEPTING ORDERS FROM THIRD PARTY WITHOUT HAVING ON FILE A TRADING AUTHORIZATION SIGNED BY THE CLIENT, AND CONTRAVENED VSE BY-LAW 5.01(2) BY PROVIDING INACCURATE INFORMATION TO THE VSE DURING THE COURSE OF AN INVESTIGATION.

Sanction detail — filed text

FINED (REFER TO QUESTION 12. A/B FOR DETAILS) PAID JUNE/JULY 2001

Full extracted filing text

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)

11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
2744412
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
COX, THOMAS WILLIAM JR
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
VANCOUVER STOCK EXCHANGE
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
12/16/1996
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
151996-00273
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):

YORKTON SECURITIES INC.
6.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
CONTRAVENED VSE RULE F.1.02 BY ACCEPTING ORDERS FROM THIRD PARTY WITHOUT HAVING ON FILE A TRADING AUTHORIZATION SIGNED BY THE
CLIENT, AND CONTRAVENED VSE BY-LAW 5.01(2) BY PROVIDING INACCURATE INFORMATION TO THE VSE DURING THE COURSE OF AN INVESTIGATION.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Settled
11. Resolution Date (MM/DD/YYYY):
06/13/2001
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 10,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
FINE OF $10,000.00 (CDN) & COSTS OF $10,000.00 (CDN)
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
FINED (REFER TO QUESTION 12. A/B FOR DETAILS) PAID JUNE/JULY 2001
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).

regulatory · block 4PDF pages 30–32

Regulator name — filed text: NASD DISTRICT 3
Monetary/Fine Amount — filed text: $ 7,500.00
How was matter resolved — filed text: Acceptance, Waiver & Consent(AWC)

Other filed details

Description of allegations — filed text

FIRM FAILED TO MAINTAIN REQUIRED NET CAPITAL WHILE USING INSTRUMENTALITIES OF INTERSTAE COMMERCE TO EFFECT TRANSACTIONS IN SECURITIES

Sanction detail — filed text

WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, WE CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE WE WERE CENSURED AND FINED $7,500

Full extracted filing text

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)

You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
No Information Filed
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
NASD DISTRICT 3
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
CENSURE
3.
Date Initiated (MM/DD/YYYY): 
07/11/2005
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
C3B050016
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
No Product
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
FIRM FAILED TO MAINTAIN REQUIRED NET CAPITAL WHILE USING INSTRUMENTALITIES OF INTERSTAE COMMERCE TO EFFECT TRANSACTIONS IN
SECURITIES
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Acceptance, Waiver & Consent(AWC)

11. Resolution Date (MM/DD/YYYY):
07/11/2005
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 7,500.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, WE CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS;
THEREFORE WE WERE CENSURED AND FINED $7,500
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).

regulatory · block 5PDF pages 32–34

Regulator name — filed text: SEC
How was matter resolved — filed text: Settled

Action status / disposition — filed text

IT SHOULD BE NOTED THAT THESE EVENTS TOOK PLACE PRIOR TO THE AQUISITION OF NORAM BY ITS CURRENT OWNERS AND THOSE NAMED ARE NOT ASSOCIATED WITH NORAM OR ANY CANACCORD COMPANY IN ANY CAPACITY.

Other filed details

Description of allegations — filed text

EQUITY WAS HELD RESPONSIBLE FOR SUPERVISION OF THE ACTIVITIES OF P.J. KISH AGENT, GERALD LEVINE. SEC ALLEGED VIOLATIONS OF VARIOUS SECTIONS OF SEC ACT AND REG T, AS WELL AS FAILURE TO SUPERVISE EFFECTIVELY.

Sanction detail — filed text

EQUITY SECURITIES WAS SUSPENDED FOR 90 CALENDAR DAYS FROM ENTERING INTO ANY NEW CLEARING ARRANGEMENTS FOR OTHER B/DS AND MR. NEWMAN WAS SUSPENDED FROM SERVING IN ANY SUPERVISORY CAPACITY FOR 2 WEEKS.

Full extracted filing text

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page.
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A. The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name).
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
No Information Filed
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.

This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances:
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
Yes
No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1. Regulatory Action initiated by:
SEC
Other Federal
State
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO)
SEC
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions:
3.
Date Initiated (MM/DD/YYYY):
01/01/1980
Exact
Explanation
If not exact, provide explanation:
ONLY SETTLEMENT DATE KNOWN.
4.
Docket/Case Number:
3-5950
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types:
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
EQUITY WAS HELD RESPONSIBLE FOR SUPERVISION OF THE ACTIVITIES OF P.J. KISH AGENT, GERALD LEVINE. SEC ALLEGED VIOLATIONS OF VARIOUS
SECTIONS OF SEC ACT AND REG T, AS WELL AS FAILURE TO SUPERVISE EFFECTIVELY.
8.
Current Status?
Pending
On Appeal
Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Settled
11. Resolution Date (MM/DD/YYYY):
08/04/1980
Exact
Explanation
If not exact, provide explanation:
12. Resolution Detail:
A. Were any of the following Sanctions Ordered (check all appropriate items)?
Monetary/Fine Amount: $
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction
Bar
Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion

of penalty was waived:
EQUITY SECURITIES WAS SUSPENDED FOR 90 CALENDAR DAYS FROM ENTERING INTO ANY NEW CLEARING ARRANGEMENTS FOR OTHER B/DS AND
MR. NEWMAN WAS SUSPENDED FROM SERVING IN ANY SUPERVISORY CAPACITY FOR 2 WEEKS.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
IT SHOULD BE NOTED THAT THESE EVENTS TOOK PLACE PRIOR TO THE AQUISITION OF NORAM BY ITS CURRENT OWNERS AND THOSE NAMED ARE NOT
ASSOCIATED WITH NORAM OR ANY CANACCORD COMPANY IN ANY CAPACITY.

regulatory · block 6PDF pages 34–35

Regulator name — filed text: NASD DISTRICT 8
Monetary/Fine Amount — filed text: $ 2,125.00
How was matter resolved — filed text: Settled

Action status / disposition — filed text

IT SHOULD BE NOTED THAT THESE EVENTS TOOK PLACE PRIOR TO THE ACQUISITION OF NORAM BY ITS CURRENT OWNERS AND THOSE NAMED ARE NOT ASSOCIATED WITH NORAM OR ANY CANACCORD COMPANY IN ANY CAPACITY.

Other filed details

Description of allegations — filed text

ALLEGED VIOLATION OF FREE RIDING AND WITHHOLDING THRU THE SALE OF HOT ISSUES RESTRICTED TO AN INDIVIDUAL

Sanction detail — filed text

EQUITY SECURIITES IMPLEMENTED THE DISTRICT INTERPRETATION INTO OPERAITON PROCEDURES. CENSURED AND FINED $2125.00.

Full extracted filing text

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions:
3.
Date Initiated (MM/DD/YYYY):
02/03/1986
Exact
Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
CHI 876
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types:
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ALLEGED VIOLATION OF FREE RIDING AND WITHHOLDING THRU THE SALE OF HOT ISSUES RESTRICTED TO AN INDIVIDUAL
8.
Current Status?
Pending
On Appeal
Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Settled
11. Resolution Date (MM/DD/YYYY):
08/29/1986
Exact
Explanation
If not exact, provide explanation:
12. Resolution Detail:
A. Were any of the following Sanctions Ordered (check all appropriate items)?
Monetary/Fine Amount: $ 2,125.00
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction
Bar
Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived:
EQUITY SECURIITES IMPLEMENTED THE DISTRICT INTERPRETATION INTO OPERAITON PROCEDURES. CENSURED AND FINED $2125.00.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
IT SHOULD BE NOTED THAT THESE EVENTS TOOK PLACE PRIOR TO THE ACQUISITION OF NORAM BY ITS CURRENT OWNERS AND THOSE NAMED ARE
NOT ASSOCIATED WITH NORAM OR ANY CANACCORD COMPANY IN ANY CAPACITY.

Show 12 more source blocks

regulatory · block 7PDF pages 35–37

Regulator name — filed text: NASD DALLAS 6 BUSINESS CONDUCT COMMITTEE
Monetary/Fine Amount — filed text: $ 2,000.00
How was matter resolved — filed text: Settled

Other filed details

Description of allegations — filed text

VIOLATION OF MSRB RULE G-17. DID NOT INCLUDE ALL REPORTABLE CONTRIBUTIONS.

Sanction detail — filed text

LETTER OF AWC W/$2000.00 FINE.

Full extracted filing text

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)

11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
No Information Filed
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
NASD DALLAS 6 BUSINESS CONDUCT COMMITTEE
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
01/01/1997
 Exact
 Explanation
If not exact, provide explanation:
ONLY SETTLEMENT DATE KNOWN.
4.
Docket/Case Number:
C06970008
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):

VIOLATION OF MSRB RULE G-17. DID NOT INCLUDE ALL REPORTABLE CONTRIBUTIONS.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Settled
11. Resolution Date (MM/DD/YYYY):
05/01/1997
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 2,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
LETTER OF AWC W/$2000.00 FINE.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).

regulatory · block 8PDF pages 37–39

Regulator name — filed text: CBOE
Monetary/Fine Amount — filed text: $ 500.00
How was matter resolved — filed text: Settled

Action status / disposition — filed text

IT SHOULD BE NOTED THAT THESE EVENTS TOOK PLACE PRIOR TO THE ACQUISITION OF NORAM BY ITS CURRENT OWNERS AND THOSE NAMED AR NOT ASSOCIATED WITH NORAM OR ANY CANACCORD COMPANY IN ANY CAPACITY.

Other filed details

Description of allegations — filed text

ALLEGED VIOLATIONS OF CUSTOMER CONTRACTS WITH NO APPROVAL BY PRINCIPAL, NON DISSENINATION OF BASIC OPTION DISCLOSURE DOCUMENTS TO CUSTOMERS AND NO MARK TO MARKET PRICING & MV PROVIDED TO CUSTOMERS WITH MARGIN ACCOUNTS FOR OPTION POSITIONS.

Sanction detail — filed text

DEFICIENCIES WERE CORRECTED, EQUITY SECURITIES FINED $500 AND CENSURED.

Full extracted filing text

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

ADV DRP - ADVISORY AFFILIATE
No Information Filed
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances:
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
Yes
No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1. Regulatory Action initiated by:
SEC
Other Federal
State
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO)
CBOE
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions:
3.
Date Initiated (MM/DD/YYYY):
01/01/1984
Exact
Explanation
If not exact, provide explanation:
ONLY SETTLEMENT DATE KNOWN.
4.
Docket/Case Number:
83-0020
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types:
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ALLEGED VIOLATIONS OF CUSTOMER CONTRACTS WITH NO APPROVAL BY PRINCIPAL, NON DISSENINATION OF BASIC OPTION DISCLOSURE
DOCUMENTS TO CUSTOMERS AND NO MARK TO MARKET PRICING & MV PROVIDED TO CUSTOMERS WITH MARGIN ACCOUNTS FOR OPTION POSITIONS.
8.
Current Status?
Pending
On Appeal
Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Settled
11. Resolution Date (MM/DD/YYYY):
02/27/1984
Exact
Explanation
If not exact, provide explanation:
12. Resolution Detail:

A. Were any of the following Sanctions Ordered (check all appropriate items)?
Monetary/Fine Amount: $ 500.00
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction
Bar
Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived:
DEFICIENCIES WERE CORRECTED, EQUITY SECURITIES FINED $500 AND CENSURED.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
IT SHOULD BE NOTED THAT THESE EVENTS TOOK PLACE PRIOR TO THE ACQUISITION OF NORAM BY ITS CURRENT OWNERS AND THOSE NAMED AR NOT
ASSOCIATED WITH NORAM OR ANY CANACCORD COMPANY IN ANY CAPACITY.

regulatory · block 9PDF pages 39–41

Regulator name — filed text: STATE OF MASSACHUSETTS
Monetary/Fine Amount — filed text: $ 193.67
How was matter resolved — filed text: Settled

Action status / disposition — filed text

IT SHOULD BE NOTED THAT THESE EVENTS TOOK PLACE PRIOR TO THE ACQUISITION OF NORAM, NOW KNOWN AS CANACCORD CAPITAL CORPORATION USA INC., BY ITS CURRENT OWNERS AND THOSE NAMED ARE NOT ASSOCIATED WITH NORAM OR ANY CANACCORD COMPANY IN ANY CAPACITY.

Other filed details

Description of allegations — filed text

EQUITY EFFECTED 7 NON-INSTITUTIONAL TRANSACTIONS DURING A 21-MONTH PERIOD WHILE UNREGISTERED AS A BROKER/DEALER IN MASSACHUSETTS.

Sanction detail — filed text

MASSACHUSETTS ORDERED THAT RECISSION OFFERS BE PRESENT TO THE (2) MASSACHUSETTS CUSTOMERS INVOLVED IN THE UNREGISTERED NO-EXEMPT TRANSACTIONS WITH A FINE OF $193.67.

Full extracted filing text

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

Yes
No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1. Regulatory Action initiated by:
SEC
Other Federal
State
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO)
STATE OF MASSACHUSETTS
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions:
3.
Date Initiated (MM/DD/YYYY):
06/22/1997
Exact
Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
E-89-246
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types:
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
EQUITY EFFECTED 7 NON-INSTITUTIONAL TRANSACTIONS DURING A 21-MONTH PERIOD WHILE UNREGISTERED AS A BROKER/DEALER IN
MASSACHUSETTS.
8.
Current Status?
Pending
On Appeal
Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Settled
11. Resolution Date (MM/DD/YYYY):
09/29/1997
Exact
Explanation
If not exact, provide explanation:
12. Resolution Detail:
A. Were any of the following Sanctions Ordered (check all appropriate items)?
Monetary/Fine Amount: $ 193.67
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction
Bar
Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived:
MASSACHUSETTS ORDERED THAT RECISSION OFFERS BE PRESENT TO THE (2) MASSACHUSETTS CUSTOMERS INVOLVED IN THE UNREGISTERED
NO-EXEMPT TRANSACTIONS WITH A FINE OF $193.67.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
IT SHOULD BE NOTED THAT THESE EVENTS TOOK PLACE PRIOR TO THE ACQUISITION OF NORAM, NOW KNOWN AS CANACCORD CAPITAL

CORPORATION USA INC., BY ITS CURRENT OWNERS AND THOSE NAMED ARE NOT ASSOCIATED WITH NORAM OR ANY CANACCORD COMPANY IN ANY
CAPACITY.

regulatory · block 10PDF pages 41–42

Regulator name — filed text: CBOE
Monetary/Fine Amount — filed text: $ 4,000.00
How was matter resolved — filed text: Settled

Action status / disposition — filed text

IT SHOULD BE NOTED THAT THESE EVENTS TOOK PLACE PRIOR TO THE ACQUISITION OF NORAM BY ITS CURRENT OWNERS AND THOSE NAMED ARE NOT ASSOCIATED WITH NORAM OR ANY CANACCORD COMPANY IN ANY CAPACITY.

Other filed details

Description of allegations — filed text

ACCEPTED OPTION ORDERED PRIOR TO APPROVAL BY ROP; FAILED TO HAVE WRITTEN OPTION AGREEMENTS WITHIN REQUIRED TIME; FAILED TO ADHERE TO WRITTEN SUPERVISORY PROCEDURES IN REG T2, MARGIN REQUIREMENTS, LIQUIDATION, UNCOVERED OPTION CONTRACTS; PURCHASES IN NON-MARGINABLE SECURITIES.

Sanction detail — filed text

PRACTICES AND DEFICIENCIES WERE CORRECTED, CENSURED AND JONTLY FINED $4000.00.

Full extracted filing text

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
No Information Filed
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
CBOE
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
08/04/1980
 Exact
 Explanation

If not exact, provide explanation:
4.
Docket/Case Number:
80-0043
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ACCEPTED OPTION ORDERED PRIOR TO APPROVAL BY ROP; FAILED TO HAVE WRITTEN OPTION AGREEMENTS WITHIN REQUIRED TIME; FAILED TO
ADHERE TO WRITTEN SUPERVISORY PROCEDURES IN REG T2, MARGIN REQUIREMENTS, LIQUIDATION, UNCOVERED OPTION CONTRACTS; PURCHASES
IN NON-MARGINABLE SECURITIES.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Settled
11. Resolution Date (MM/DD/YYYY):
11/21/1980
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $ 4,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
PRACTICES AND DEFICIENCIES WERE CORRECTED, CENSURED AND JONTLY FINED $4000.00.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
IT SHOULD BE NOTED THAT THESE EVENTS TOOK PLACE PRIOR TO THE ACQUISITION OF NORAM BY ITS CURRENT OWNERS AND THOSE NAMED ARE
NOT ASSOCIATED WITH NORAM OR ANY CANACCORD COMPANY IN ANY CAPACITY.

regulatory · block 11CANACCORD GENUITY CORP.PDF pages 42–44

Advisory affiliate name — filed text: CANACCORD GENUITY CORP.
Regulator name — filed text: INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
Monetary/Fine Amount — filed text: $ 750,000.00
How was matter resolved — filed text: Settled

Action status / disposition — filed text

CANACCORD HAS REPLACED ITS BRANCH MANAGERS IN MONTREAL, KELOWNA AND PRINCE GEORGE, AND OTHER RRS RELATED TO THE INADEQUATE SUPERVISION. SINCE 2008 CANACCORD HAS SPENT APPROXIMATELY $1,000,000 IMPLEMENTING AND MAINTAINING A NEW ELECTRONIC SUPERVISORY SYSTEM TO SUPPLEMENT THEIR CURRENT SUPERVISORY PRACTICES. 10152437.1 CANACCORD CURRENTLY CONDUCTS MORE FREQUENT AUDITS OF ITS FRONT LINE SUPERVISORS AND HAS TIED THEIR COMPENSATION TO THE FREQUENCY AND EFFECTIVENESS OF THEIR SUPERVISORY EFFORTS. IN 2011 CANACCORD RETAINED INDEPENDENT COMPLIANCE CONSULTANTS TO REVIEW ITS COMPLIANCE AND SUPERVISORY SYSTEMS AND ASSESS THE EFFICACY OF SOME OF THE CHANGES UNDERTAKEN BY THE FIRM. THE INDEPENDENT REPORT WAS GENERALLY POSITIVE AND WHERE IT MADE RECOMMENDATIONS, CANACCORD HAS TAKEN ACTION TO ADDRESS THEM.

Other filed details

Description of allegations — filed text

SPECIFICALLY, CANACCORD GENUITY CORP. ADMITTED TO THE FOLLOWING VIOLATION: A) FAILING TO ADEQUATELY SUPERVISE RETAIL CLIENT ACCOUNT ACTIVITY CONTRARY TO IIROC DEALER MEMBER RULES 2500 AND 1300.2 (PRIOR TO JUNE 2008, IDA POLICY 2 AND IDA REGULATION 1300.2) (I) FROM 2005 THROUGH 2010, BY FAILING TO MONITOR ADEQUATELY FIRST LEVEL SUPERVISION AND BY FAILING TO HAVE EFFECTIVE SECOND TIER SUPERVISION; AND (II) FROM JUNE 2009 TO FEBRUARY 2011, BY REFUSING TO ADOPT PROCEDURES TO REASONABLY ASSURE ITSELF THAT ITS CLIENTS WHO PURCHASED PRIVATE PLACEMENTS WERE "ACCREDITED INVESTORS".

Sanction detail — filed text

AS PART OF THE TERMS OF SETTLEMENT CANACCORD GENUITY CORP WAS FINED $750,000, DISGORGED COMMISSIONS OF $310,000 AND CONTRIBUTED $50,000 TOWARDS IIROC'S INVESTIGATION COSTS.

Full extracted filing text

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page.
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A. The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name).
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is
a Firm
an Individual
Registered:
Yes
No
Name:
CANACCORD GENUITY CORP.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances:
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
Yes
No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1. Regulatory Action initiated by:
SEC
Other Federal
State
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO)
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC)
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions:
DISGORGED COMMISSIONS AND INVESTIGATION COSTS
3.
Date Initiated (MM/DD/YYYY):
06/10/2009
Exact
Explanation
If not exact, provide explanation:
SETTLEMENT AGREEMENT WAS THE RESULT OF A NUMBER OF CONCURRENT INVESTIGATIONS.
4.
Docket/Case Number:
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
No Product
Other Product Types:

7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
SPECIFICALLY, CANACCORD GENUITY CORP. ADMITTED TO THE FOLLOWING VIOLATION: A) FAILING TO ADEQUATELY SUPERVISE RETAIL CLIENT
ACCOUNT ACTIVITY CONTRARY TO IIROC DEALER MEMBER RULES 2500 AND 1300.2 (PRIOR TO JUNE 2008, IDA POLICY 2 AND IDA REGULATION 1300.2)
(I) FROM 2005 THROUGH 2010, BY FAILING TO MONITOR ADEQUATELY FIRST LEVEL SUPERVISION AND BY FAILING TO HAVE EFFECTIVE SECOND TIER
SUPERVISION; AND (II) FROM JUNE 2009 TO FEBRUARY 2011, BY REFUSING TO ADOPT PROCEDURES TO REASONABLY ASSURE ITSELF THAT ITS CLIENTS
WHO PURCHASED PRIVATE PLACEMENTS WERE "ACCREDITED INVESTORS".
8.
Current Status?
Pending
On Appeal
Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Settled
11. Resolution Date (MM/DD/YYYY):
11/29/2013
Exact
Explanation
If not exact, provide explanation:
12. Resolution Detail:
A. Were any of the following Sanctions Ordered (check all appropriate items)?
Monetary/Fine Amount: $ 750,000.00
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction
Bar
Suspension
B.
Other Sanctions Ordered:
DISGORGED COMMISSIONS OF $310,000 AND CONTRIBUTION OF $50,000 TOWARDS IIROC'S INVESTIGATION COSTS.
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived:
AS PART OF THE TERMS OF SETTLEMENT CANACCORD GENUITY CORP WAS FINED $750,000, DISGORGED COMMISSIONS OF $310,000 AND
CONTRIBUTED $50,000 TOWARDS IIROC'S INVESTIGATION COSTS.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
CANACCORD HAS REPLACED ITS BRANCH MANAGERS IN MONTREAL, KELOWNA AND PRINCE GEORGE, AND OTHER RRS RELATED TO THE INADEQUATE
SUPERVISION. SINCE 2008 CANACCORD HAS SPENT APPROXIMATELY $1,000,000 IMPLEMENTING AND MAINTAINING A NEW ELECTRONIC SUPERVISORY
SYSTEM TO SUPPLEMENT THEIR CURRENT SUPERVISORY PRACTICES. 10152437.1 CANACCORD CURRENTLY CONDUCTS MORE FREQUENT AUDITS OF ITS
FRONT LINE SUPERVISORS AND HAS TIED THEIR COMPENSATION TO THE FREQUENCY AND EFFECTIVENESS OF THEIR SUPERVISORY EFFORTS. IN 2011
CANACCORD RETAINED INDEPENDENT COMPLIANCE CONSULTANTS TO REVIEW ITS COMPLIANCE AND SUPERVISORY SYSTEMS AND ASSESS THE
EFFICACY OF SOME OF THE CHANGES UNDERTAKEN BY THE FIRM. THE INDEPENDENT REPORT WAS GENERALLY POSITIVE AND WHERE IT MADE
RECOMMENDATIONS, CANACCORD HAS TAKEN ACTION TO ADDRESS THEM.

regulatory · block 12PDF pages 44–46

Regulator name — filed text: WISCONSIN
How was matter resolved — filed text: Settled

Action status / disposition — filed text

IT SHOULD BE NOTED THAT THESE EVENTS TOOK PLACE PRIOR TO THE ACQUISITION OF NORAM BY ITS CURRENT OWNDERS AND THOSE NAMED ARE NOT ASSOCIATED WITH NORAM OR ANY CANACCORD COMPANY IN ANY CAPACITY.

Other filed details

Description of allegations — filed text

A CONSENT ORDER WAS ISSUED BY THE COMMMISSIONER ON JANUARY 29, 1981, SUSPENDING THE LIMITED BROKER-DEALER'S LICENSE OF EQUITY SECURITIES TRADING CO., FOR 100 DAYS COMMENCING ON JANUARY 31, 1981.

Sanction detail — filed text

100 DAY SUSPENSION, STARTING JAN 31, 1981, AFTER WHICH LICENSE LIMITED TO CLEARING TRANSACTIONS ON A FULLY DISCLOSED BASIS FOR SUBSEQUENT 180 DAYS.

Full extracted filing text

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

PART I
A. The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name).
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
No Information Filed
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances:
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
Yes
No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1. Regulatory Action initiated by:
SEC
Other Federal
State
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO)
WISCONSIN
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions:
3.
Date Initiated (MM/DD/YYYY):
01/29/1981
Exact
Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
X-1661(L)
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
EQUITY SECURITIES TRADING CO.
6.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types:
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
A CONSENT ORDER WAS ISSUED BY THE COMMMISSIONER ON JANUARY 29, 1981, SUSPENDING THE LIMITED BROKER-DEALER'S LICENSE OF EQUITY
SECURITIES TRADING CO., FOR 100 DAYS COMMENCING ON JANUARY 31, 1981.
8.
Current Status?
Pending
On Appeal
Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Settled
11. Resolution Date (MM/DD/YYYY):
01/29/1981
Exact
Explanation
If not exact, provide explanation:
12. Resolution Detail:
A. Were any of the following Sanctions Ordered (check all appropriate items)?
Monetary/Fine Amount: $
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction
Bar
Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived:
100 DAY SUSPENSION, STARTING JAN 31, 1981, AFTER WHICH LICENSE LIMITED TO CLEARING TRANSACTIONS ON A FULLY DISCLOSED BASIS
FOR SUBSEQUENT 180 DAYS.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
IT SHOULD BE NOTED THAT THESE EVENTS TOOK PLACE PRIOR TO THE ACQUISITION OF NORAM BY ITS CURRENT OWNDERS AND THOSE NAMED ARE
NOT ASSOCIATED WITH NORAM OR ANY CANACCORD COMPANY IN ANY CAPACITY.

regulatory · block 13PDF pages 46–48

Regulator name — filed text: NASD DISTRICT NO. 4
Monetary/Fine Amount — filed text: $ 5,000.00
How was matter resolved — filed text: Settled

Action status / disposition — filed text

IT SHOULD BE NOTED THAT THESE EVENTS TOOK PLACE PRIOR TO THE ACQUISTION OF NORAM BY ITS CURRENT OWNERS AND THOSE NAMED ARE NOT ASSOCIATED WITH NORAM OR ANY CANACCORD COMPANY IN ANY CAPACITY.

Other filed details

Description of allegations — filed text

ALLEGED VIOLATIONS OF ARTICLE III, SECTIONS 1, 2, 19(E) AND 27 OF THE RULES OF FAIR PRACTICE CONCERNING SUITABILITY AGAINST RESPONDENT O'BRIEN. RESPNDENT MEMBER, THROUGH RESPONDENT NEWMAN FAILED TO PROPERLY SUPERVISE O'BRIEN.

Sanction detail — filed text

RESPONDENT O'BRIEN WAS CENSURED AND SUSPENDED FROM ASSOCAITION WITH ANY NASD MEMBER IN ANY CAPACITY FOR 35 DAYS, AND WITHIN 45 DAYS MAKE RESTITUTION IN THE AMOUNT OF $6635 TO PUBLIC CUSTOMERS.

Full extracted filing text

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances:
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
Yes
No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1. Regulatory Action initiated by:
SEC
Other Federal
State
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO)
NASD DISTRICT NO. 4
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions:
3.
Date Initiated (MM/DD/YYYY):
03/03/1994
Exact
Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
C04930067
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
EQUITY SECURITIES TRADING CO. INC.
6.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types:
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ALLEGED VIOLATIONS OF ARTICLE III, SECTIONS 1, 2, 19(E) AND 27 OF THE RULES OF FAIR PRACTICE CONCERNING SUITABILITY AGAINST
RESPONDENT O'BRIEN. RESPNDENT MEMBER, THROUGH RESPONDENT NEWMAN FAILED TO PROPERLY SUPERVISE O'BRIEN.
8.
Current Status?
Pending
On Appeal
Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Settled
11. Resolution Date (MM/DD/YYYY):
08/07/1995
Exact
Explanation
If not exact, provide explanation:
12. Resolution Detail:
A. Were any of the following Sanctions Ordered (check all appropriate items)?
Monetary/Fine Amount: $ 5,000.00
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction

Bar
Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived:
RESPONDENT O'BRIEN WAS CENSURED AND SUSPENDED FROM ASSOCAITION WITH ANY NASD MEMBER IN ANY CAPACITY FOR 35 DAYS, AND
WITHIN 45 DAYS MAKE RESTITUTION IN THE AMOUNT OF $6635 TO PUBLIC CUSTOMERS.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
IT SHOULD BE NOTED THAT THESE EVENTS TOOK PLACE PRIOR TO THE ACQUISTION OF NORAM BY ITS CURRENT OWNERS AND THOSE NAMED ARE NOT
ASSOCIATED WITH NORAM OR ANY CANACCORD COMPANY IN ANY CAPACITY.

regulatory · block 14PDF pages 48–49

Regulator name — filed text: NASD DISTRICT #4
Monetary/Fine Amount — filed text: $ 5,000.00
How was matter resolved — filed text: Settled

Action status / disposition — filed text

IT SHOULD BE NOTED THAT THESE EVENTS TOOK PLACE PRIOR TO THE ACQUISTION OF NORAM BY ITS CURRENT OWNERS AND THOSE NAMED ARE NOT ASSOCIATED WITH NORAM OR ANY CANACCORD COMPANY IN ANY CAPACITY.

Other filed details

Description of allegations — filed text

ALLEGED VIOLATIONS OF ARTICLE III, SECTIONS 1 AND 27 OF THE RULES OF FAIR PRACTICE, SALE OF SHARES TO RESTRICTED PERSONS, FAILURE TO ADEQUATELY SUPERVISE ACTIVITIES OF SALES REPRESENATIVE,

Sanction detail — filed text

NOVEMBER 2, 1995 - APPEALED TO THE BOARD. NOVEMBER 13, 1995 - APPEALED TO THE SEC. JAN 8, 1998 - COMMISSION SUSTAINS NASD SANCTIONS AGAINST ZIPKIN AND REMANDS SANCTIONS AGAINST EQUITY SECURITIES.

Full extracted filing text

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

PART II
1. Regulatory Action initiated by:
SEC
Other Federal
State
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO)
NASD DISTRICT #4
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions:
3.
Date Initiated (MM/DD/YYYY):
05/19/1995
Exact
Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
C04940053
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
EQUITY SECURITIES TRADING CO.
6.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types:
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
ALLEGED VIOLATIONS OF ARTICLE III, SECTIONS 1 AND 27 OF THE RULES OF FAIR PRACTICE, SALE OF SHARES TO RESTRICTED PERSONS, FAILURE TO
ADEQUATELY SUPERVISE ACTIVITIES OF SALES REPRESENATIVE,
8.
Current Status?
Pending
On Appeal
Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Settled
11. Resolution Date (MM/DD/YYYY):
10/27/1995
Exact
Explanation
If not exact, provide explanation:
12. Resolution Detail:
A. Were any of the following Sanctions Ordered (check all appropriate items)?
Monetary/Fine Amount: $ 5,000.00
Revocation/Expulsion/Denial
Disgorgement/Restitution
Censure
Cease and Desist/Injunction
Bar
Suspension
B.
Other Sanctions Ordered:
DECISION RENDERED OCTOBER 27, 1995 WHEREIN RESPONDENTS MEMBER, NEWMAN AND ZIPKIN ARE CENSURED AND ASSESSED HEARING
COSTS OF $1014.14, JOINTLY AND SEVERALLY. RESPONDENT ZIPKIN FINED $2,500 AND RESPONDENTS MEMBER AND NEWMAN ARE FINED $7,500
JOINTLY AND SEVERALLY. NO FURTHER ACTION.
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived:
NOVEMBER 2, 1995 - APPEALED TO THE BOARD. NOVEMBER 13, 1995 - APPEALED TO THE SEC. JAN 8, 1998 - COMMISSION SUSTAINS NASD
SANCTIONS AGAINST ZIPKIN AND REMANDS SANCTIONS AGAINST EQUITY SECURITIES.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).
IT SHOULD BE NOTED THAT THESE EVENTS TOOK PLACE PRIOR TO THE ACQUISTION OF NORAM BY ITS CURRENT OWNERS AND THOSE NAMED ARE NOT
ASSOCIATED WITH NORAM OR ANY CANACCORD COMPANY IN ANY CAPACITY.

regulatory · block 15CANACCORD ADAMS INC.PDF pages 50–51

Advisory affiliate name — filed text: CANACCORD ADAMS INC.

Full extracted filing text

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
1020
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
CANACCORD ADAMS INC.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
2.
Principal Sanction:
Other Sanctions: 

3.
Date Initiated (MM/DD/YYYY): 
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
11. Resolution Date (MM/DD/YYYY):
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).

regulatory · block 16CANACCORD ADAMS INC.PDF pages 51–53

Advisory affiliate name — filed text: CANACCORD ADAMS INC.

Full extracted filing text

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
1020
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
CANACCORD ADAMS INC.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
2.
Principal Sanction:
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
11. Resolution Date (MM/DD/YYYY):
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).

regulatory · block 17CANACCORD ADAMS INC.PDF pages 53–55

Advisory affiliate name — filed text: CANACCORD ADAMS INC.

Full extracted filing text

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
1020
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
CANACCORD ADAMS INC.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.

This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
2.
Principal Sanction:
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
11. Resolution Date (MM/DD/YYYY):
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to

requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).

regulatory · block 18CANACCORD GENUITY INC.PDF pages 55–56

Advisory affiliate name — filed text: CANACCORD GENUITY INC.

Full extracted filing text

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D.,
11.E., 11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File
with a completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the
same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
1020
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
CANACCORD GENUITY INC.
(For individuals, Last, First,
Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is
registered or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the
adviser's or advisory affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item
11.D(4), and only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any
event listed in Item 11 that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the
circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to
the IARD or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign

(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
2.
Principal Sanction:
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
11. Resolution Date (MM/DD/YYYY):
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?
 Monetary/Fine Amount: $
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal,
Financial Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to
requalify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution,
disgorgement or monetary compensation, provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion
of penalty was waived: 
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response
must fit within the space provided).

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.

Canaccord Genuity Wealth Management

Associated firm names

Leadership

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Regulatory Assets Under Management Breakdown

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Compliance & Disclosures

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(2) Pending civil proceedings

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