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 | 10/31/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Yvonne L Shanklin | 5672177 | 2 | 03/07/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Surprenant | 2458986 | 10 | 12/08/2008 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Edward Lonnie Dover | 1514033 | 10 | 10/03/2007 | Customer Dispute | Denied | $34,000.00 | $0.00 | See FINRA Report |
| Joseph Carl Denicola | 1392893 | 5 | 05/20/2005 | Customer Dispute | Denied | $55,000.00 | $0.00 | See FINRA Report |
| Phillip Robert Cheney | 2496092 | 7 | 04/06/2005 | Customer Dispute | Denied | $5,001.00 | $0.00 | See FINRA Report |
| James Eugene Vinick | 454934 | 19 | 03/25/2004 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |
| Peter Matthew Thorbahn | 1320701 | 1 | 02/17/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Phillip Robert Cheney | 2496092 | 7 | 11/21/2003 | Customer Dispute | Denied | $5,001.00 | $0.00 | See FINRA Report |