Our Staff has compiled our research into a database of FINRA Broker Disclosures for Cabot Lodge Securities LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Mark Edward Urban | 3238095 | 2 | 10/01/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Allan James McDonell | 2604395 | 1 | 09/25/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Afshin Ensafdaran | 2477403 | 2 | 07/10/2003 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Edgar A Wade | 2282355 | 1 | 04/25/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Morgan Sword | 827783 | 2 | 10/07/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Edward Peltier | 2677761 | 5 | 09/17/2002 | Customer Dispute | Closed-No Action | $27,000.00 | $0.00 | See FINRA Report |
| Daniel Edward Peltier | 2677761 | 5 | 05/03/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas Everett Wells | 1063410 | 1 | 02/18/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Howard Fuller | 2221854 | 2 | 01/25/2000 | Customer Dispute | Denied | $13,877.20 | $0.00 | See FINRA Report |
| Thomas Yancey Williams | 1372002 | 6 | 05/17/1999 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |