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 |
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 |
Sondria Esmeralda Eure | 1597959 | 1 | 01/14/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
David Leslie Pines | 363760 | 5 | 08/20/2018 | Financial | Final | $0.00 | $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 |
James Joseph Cesarz | 2467691 | 3 | 07/21/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |