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 |
|---|---|---|---|---|---|---|---|---|
| Deeann Jo Griebel | 1210222 | 1 | 09/23/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Joseph Surprenant | 2458986 | 10 | 01/18/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Smith Gesdorf | 1474294 | 7 | 12/18/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Joseph Surprenant | 2458986 | 10 | 12/17/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Joseph Surprenant | 2458986 | 10 | 11/12/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Joseph Surprenant | 2458986 | 10 | 09/25/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sharon Marie Kurgis | 1123345 | 2 | 04/02/2012 | Customer Dispute | Settled | $20,118.00 | $0.00 | See FINRA Report |
| Scott Ross Bundy | 830453 | 1 | 09/23/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Edward Lonnie Dover | 1514033 | 10 | 04/19/2011 | Customer Dispute | Settled | $665,000.00 | $0.00 | See FINRA Report |
| Robert Smith Gesdorf | 1474294 | 7 | 06/02/2010 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |