THOMAS HOWARD CANIFORD (TOM CANIFORD) CRD#: 1049021
a former LPL Financial broker who pled guilty in Ohio to 135 counts in 2016, had an order filed against him by the Securities and Exchange Commission (SEC) on March 30, 2017 to bar him from the securities industry. Tom Caniford was permanently barred by the Financial Industry Regulatory Authority (FINRA) in June of 2015. Caniford pled guilty to securities fraud, publishing false statements and theft from the elderly, and was sentenced to 12 years in prison.
Tom Caniford, according to FINRA’s BrokerCheck, was registered in the securities industry for 32 years and was listed with 9 firms. There were 15 disclosures on his report, 8 listed as “Customer Disputes.” Caniford was registered with LPL Financial in North Canton, Ohio from March 2008 to March 2015.
According to the SEC, Caniford pled guilty to issuing or publishing materially false statements or advertisements concerning securities between 2010 and 2014. The SEC stated that he committed theft from the elderly or disabled adults between 2009 and 2013, and committed securities fraud between 2009 and 2014.
According to the SEC, Tom Caniford committed theft, grand theft and sold unregistered securities.
If you were a victim of former LPL Financial North Canton, Ohio, broker TOM CANIFORD, and experienced losses due to his actions or recommendations, contact Soreide Law Group at no-cost and speak to a Securities Lawyer regarding the possible recovery of you financial losses at: 888-760-6552.
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