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Kane Waller Has Received a Sanction by State Regulatory Authorities

Kane Waller

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 19, 2017 indicate that Massachusetts-based Canaccord Genuity broker Kane Waller was recently sanctioned by state regulatory authorities and has been named in a FINRA investigation into alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Waller (CRD# 4537969).

Kane Waller has spent 15 years in the securities industry and has been registered with Canaccord Genuity in Boston, Massachusetts since October 2017. Previous registrations include Fidelity Brokerage Services in Boston, Massachusetts (2003-2017) and National Financial Services in Boston, Massachusetts (2002-2017). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 6, 2003; Series 55 (Limited Representative-Equity Trader Exam), which he obtained on September 13, 2003; Series 7 (General Securities Representative Examination), which he obtained on February 25, 2003; and Series 24 (General Securities Principal Examination), which he obtained on February 27, 2006. He is a registered broker with four US states (Idaho, Massachusetts, New York, and Boston) and two self-regulatory organizations (SROs): FINRA and the Nasdaq Stock Market.

According to his BrokerCheck report, Kane Waller has received one regulatory sanction, was recently named in a FINRA investigation, and resigned from his former employer in connection to alleged rule violations.

In November 2017 Kane Waller was sanctioned by the Massachusetts Securities Division in connection to allegations surrounding his resignation from his former employer. He was placed on heightened supervision.

In September 2017 he was named in a FINRA investigation into allegations underlying his resignation from his former employer.

In July 2017 he was “permitted to resign” from his position at Fidelity Investments following allegations he disclosed “other customers’ block order information to another customer on the same side of the market” as well as allegations concerning his handling of that customer’s orders.

If you have lost money investing with Kane Waller, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.