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Saturday, April 1, 2017

SEC bars ex-LPL broker already serving 12-year prison sentence - InvestmentNews

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InvestmentNews
SEC bars ex-LPL broker already serving 12-year prison sentence
InvestmentNews
The Securities and Exchange Commission on Thursday filed an order to bar a former LPL Financial broker, Thomas Caniford, who pled guilty in state court in Canton, Ohio, in 2016 to 135 counts, including securities fraud, publishing false statements and ...


April 01, 2017 at 01:44AM

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