Kyle Qian v Canaccord Genuity LLC (FINRA 25-02169)
FINRA Dispute Resolution Services · Securities (FINRA) · United States · March 26, 2026
Why it matters
A FINRA intra-industry arbitration between an associated person and a member firm, the kind of employment or registration dispute FINRA hears within the securities industry. For a student, it shows how FINRA arbitration works: a binding, largely private process that resolves securities disputes, with awards enforceable in court and open to challenge only on narrow grounds.
Summary
A FINRA intra-industry arbitration between an associated person and a member firm, the kind of employment or registration dispute FINRA hears within the securities industry. For a student, it shows how FINRA arbitration works: a binding, largely private process that resolves securities disputes, with awards enforceable in court and open to challenge only on narrow grounds.
The detail
Parties: Kyle Qian v Canaccord Genuity LLC
Case number: FINRA Case No. 25-02169
Outcome: Expungement request; recommendation subject to court confirmation.
Applicable law: FINRA Code of Arbitration Procedure; United States securities law; the parties' brokerage agreement.
Issues in play: An investor's or an industry member's claim, decided in FINRA's arbitration forum rather than the courts.
Read the full decision at FINRA Arbitration Awards Online ↗
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