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 |
|---|---|---|---|---|---|---|---|---|
| Phillip Robert Cheney | 2496092 | 7 | 10/27/2016 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Edward Lonnie Dover | 1514033 | 10 | 09/20/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Charles Ray Murphy | 2105028 | 1 | 09/16/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Joseph Surprenant | 2458986 | 10 | 04/12/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Joseph Surprenant | 2458986 | 10 | 10/14/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Joseph Surprenant | 2458986 | 10 | 07/23/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew James Johnson | 4607958 | 1 | 01/15/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Smith Gesdorf | 1474294 | 7 | 03/20/2014 | Customer Dispute | Settled | $20,932.10 | $0.00 | See FINRA Report |
| Robert Smith Gesdorf | 1474294 | 7 | 03/19/2014 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Smith Gesdorf | 1474294 | 7 | 11/19/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |