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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Michael John Kurka | 2413833 | 3 | 10/31/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Phillip Robert Cheney | 2496092 | 7 | 10/16/2017 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Yvonne L Shanklin | 5672177 | 2 | 03/07/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Phillip Robert Cheney | 2496092 | 7 | 10/27/2016 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Matthew James Johnson | 4607958 | 1 | 01/15/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Smith Gesdorf | 1474294 | 7 | 03/20/2014 | Customer Dispute | Settled | $20,932.10 | $0.00 | See FINRA Report |
| Sharon Marie Kurgis | 1123345 | 2 | 04/02/2012 | Customer Dispute | Settled | $20,118.00 | $0.00 | See FINRA Report |
| Edward Lonnie Dover | 1514033 | 10 | 04/19/2011 | Customer Dispute | Settled | $665,000.00 | $0.00 | See FINRA Report |