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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Todd Griffin | 1946479 | 1 | 10/21/2002 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Thomas Alexander Hand | 2906360 | 1 | 05/08/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Christopher Obrien | 1081204 | 1 | 10/16/2000 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Surprenant | 2458986 | 10 | 03/14/2000 | Customer Dispute | Denied | $334,879.00 | $0.00 | See FINRA Report |
| James Eugene Vinick | 454934 | 19 | 03/14/2000 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Surprenant | 2458986 | 10 | 01/20/2000 | Customer Dispute | Denied | $700,000.00 | $0.00 | See FINRA Report |
| James Eugene Vinick | 454934 | 19 | 01/18/2000 | Customer Dispute | Denied | $28,325.20 | $0.00 | See FINRA Report |
| Sharon Marie Kurgis | 1123345 | 2 | 11/29/1999 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Rhodes Cuttle Palmer | 355670 | 1 | 10/07/1998 | Customer Dispute | Denied | $19,500.00 | $0.00 | See FINRA Report |
| Andrew James Donahue | 2012829 | 1 | 08/05/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |