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 |
|---|---|---|---|---|---|---|---|---|
| Yvonne L Shanklin | 5672177 | 2 | 02/23/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Phillip Robert Cheney | 2496092 | 7 | 12/07/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael John Kurka | 2413833 | 3 | 10/31/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Phillip Robert Cheney | 2496092 | 7 | 10/16/2017 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Michael John Kurka | 2413833 | 3 | 09/25/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Joseph Cesarz | 2467691 | 3 | 07/21/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Callum Joseph Fraser MacLean | 2576933 | 2 | 07/21/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Joseph Cesarz | 2467691 | 3 | 04/10/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Callum Joseph Fraser MacLean | 2576933 | 2 | 04/10/2017 | Employment Separation After Allegations | $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 |