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 |
|---|---|---|---|---|---|---|---|---|
| Damian Mark Baird | 3097243 | 7 | 12/22/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| 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 |
| James R Willing | 468560 | 4 | 01/07/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Carl Denicola | 1392893 | 5 | 05/13/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James R Willing | 468560 | 4 | 03/21/2019 | 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 |
| David Leslie Pines | 363760 | 5 | 08/20/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |