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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Carl Denicola | 1392893 | 5 | 11/12/2008 | Customer Dispute | Settled | $29,076.90 | $0.00 | See FINRA Report |
| Stephen Decatur | 1212531 | 6 | 04/28/2005 | Customer Dispute | Settled | $42,000.00 | $0.00 | See FINRA Report |
| David Warren Donahue | 69819 | 1 | 08/10/2004 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Stephen Decatur | 1212531 | 6 | 09/10/2003 | Customer Dispute | Settled | $547,000.00 | $0.00 | See FINRA Report |
| Paul Lawrence Fowler | 1092715 | 6 | 05/28/2003 | Customer Dispute | Settled | $357,000.00 | $0.00 | See FINRA Report |
| Edward Bradford Buttner | 2592082 | 1 | 02/21/2002 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |
| Paul Lawrence Fowler | 1092715 | 6 | 07/06/2001 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| James Eugene Vinick | 454934 | 19 | 03/05/2001 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Paul Lawrence Fowler | 1092715 | 6 | 02/22/2000 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Eugene Vinick | 454934 | 19 | 03/16/1995 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |