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 |
|---|---|---|---|---|---|---|---|---|
| James Eugene Vinick | 454934 | 19 | 03/27/1990 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| James Joseph Cesarz | 2467691 | 3 | 11/02/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Smith Gesdorf | 1474294 | 7 | 06/22/1989 | Customer Dispute | Settled | $47,000.00 | $0.00 | See FINRA Report |
| Joseph Carl Denicola | 1392893 | 5 | 05/15/1989 | Customer Dispute | Settled | $24,980.00 | $0.00 | See FINRA Report |
| James Eugene Vinick | 454934 | 19 | 06/13/1985 | Customer Dispute | Settled | $725,000.00 | $0.00 | See FINRA Report |
| James Eugene Vinick | 454934 | 19 | 03/28/1984 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| James Eugene Vinick | 454934 | 19 | 11/21/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Eugene Vinick | 454934 | 19 | 11/15/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Eugene Vinick | 454934 | 19 | 08/31/1983 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Eugene Vinick | 454934 | 19 | 12/02/1982 | Customer Dispute | Settled | $19,000.00 | $0.00 | See FINRA Report |