Our Staff has compiled our research into a database of FINRA Broker Disclosures for Moors & Cabot, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Edward Lonnie Dover | 1514033 | 10 | 08/27/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Lawrence Fowler | 1092715 | 6 | 12/23/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Francis Kulak | 1494709 | 1 | 08/17/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Carl Denicola | 1392893 | 5 | 05/13/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Lawrence Fowler | 1092715 | 6 | 02/14/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sondria Esmeralda Eure | 1597959 | 1 | 01/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher John Juall | 2170381 | 1 | 09/04/2018 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Michael John Kurka | 2413833 | 3 | 06/05/2018 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Phillip Robert Cheney | 2496092 | 7 | 05/16/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marilyn Claire Hayes | 728193 | 1 | 05/03/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |