Articles Tagged with felony

David HobsonPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 14, 2016 indicate that former Rhode Island-based Oppenheimer & Company broker David Hobson is the subject of pending civil and criminal complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hobson (CRD# 2448412).

David Hobson has spent 22 years in the securities industry and was most recently registered with Oppenheimer & Company in Providence, Rhode Island (2010-2016). Previous registrations include RBC Capital Markets in Providence, New York; Tucker Anthony in Boston, Massachusetts; Gruntal & Company in New York, New York; and Dickinson & Company in Des Moines, Iowa. He is currently not registered with any state or firm. Continue Reading

Thomas CanifordPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 10, 2016 indicate that former LPL broker Thomas Caniford has been permanently barred from associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Caniford (CRD# 1049021).

Thomas Caniford has spent 32 years in the securities industry and was most recently registered with LPL Financial in North Canton, Ohio (2008-2015). Previous registrations include M Holdings Securities in North Canton (2004-2008); Multi-Financial Securities in Denver, Colorado (2004); Vestax Securities in Hudson, Ohio (1997-2004); Multi-Financial Securities in Denver, Colorado (1991-1997); Mutual Service Corporation in Boston, Massachusetts (1989-1991); Lowry Financial Services Corporation in North Palm Beach, Florida (1984-1989); Anchor National Financial Services (1983-1984); and Integrated Resources Equity Corporation (1982-1983). Continue Reading

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