How many shares of CWBHF is Cannacord Genuity holding when they first covered Charlotte’s Web. The Wolf couldn’t find it in your Amazon link you understand. You might want to take this off your subject section of the board. Around the time it was posted about Canocorn Genuity they were opening up a can of corn and worms appeared instead you understand. Do you think Charlotte’s Web was part of their wrongdoings? The Wolf is not a betting Wolf but having taken Statistics and Probabilities classes in College, there is a really good chance and high probability that they were you understand. just a $250,000 slap on the list. Imo. Have Mercy Wolf ahooooooo
Charlotte’s Web is a “thinly traded stock “ Is it not?
SEC Charges Broker-Dealer with Violations of Gatekeeping Provisions Aimed at Protecting Investors FOR IMMEDIATE RELEASE 2019-151
According to the SEC's order, Canaccord published quotes and made markets in dozens of over-the-counter (OTC) securities without performing the review required by Exchange Act Rule 15c2-11, which requires that broker-dealers have a reasonable basis for believing the prospectus and other information made available by the issuer of the securities was accurate.
Canaccord allowed dozens of OTC securities to be traded in U.S. markets without conducting the review required to protect investors. Canaccord has since revised and improved its policies and procedur
Rule 15c2-11 imposes important responsibilities on broker-dealers to minimize the risk of fraud in the securities they sell to customers," said Daniel Michael, Chief of the Complex Financial Instruments Unit. "By rubber stamping certifications that it had done its homework on the securities in which it made markets, Canaccord failed to perform this critical gatekeeping function."