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SEC Fines Broker-Dealer Canaccord Over Lax Compliance

By Dean Seal (August 14, 2019, 6:22 PM EDT) -- The U.S. Securities and Exchange Commission ordered broker-dealer Canaccord Genuity LLC to pay a civil penalty of $250,000 on Wednesday, resolving allegations that it failed to properly vet dozens of securities before allowing them to be traded in U.S. markets....

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