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Haywood Securities (USA) Inc.

Date:

January 16, 2024

Type of alert:

FINRA AWC  

Haywood Securities (USA) Inc. submitted an Acceptance, Waiver, and Consent (AWC). Without admitting or denying the claims, Haywood USA accepts and consents to the following findings: Recommending sales of $11 million of over 50 private placements to US customers without conducting proper due diligence, and failing to file offering documents in connection with 236 Canadian private placement offerings. Haywood USA consented to a censure and a fine.

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