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 |
|---|---|---|---|---|---|---|---|---|
| Edward Lonnie Dover | 1514033 | 10 | 03/25/2010 | Customer Dispute | Withdrawn | $3,978,250.00 | $0.00 | See FINRA Report |
| Edward Lonnie Dover | 1514033 | 10 | 01/05/2010 | Customer Dispute | Settled | $396,787.00 | $0.00 | See FINRA Report |
| Edward Lonnie Dover | 1514033 | 10 | 01/05/2010 | Customer Dispute | Settled | $283,419.00 | $0.00 | See FINRA Report |
| Edward Lonnie Dover | 1514033 | 10 | 12/31/2009 | Customer Dispute | Settled | $281,454.00 | $0.00 | See FINRA Report |
| Edward Lonnie Dover | 1514033 | 10 | 12/31/2009 | Customer Dispute | Settled | $971,250.00 | $0.00 | See FINRA Report |
| Edward Lonnie Dover | 1514033 | 10 | 12/21/2009 | Customer Dispute | Award / Judgment | $230,125.00 | $0.00 | See FINRA Report |
| Jeffrey David Bieling | 2118074 | 1 | 12/19/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Joseph Surprenant | 2458986 | 10 | 12/08/2008 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Joseph Carl Denicola | 1392893 | 5 | 11/12/2008 | Customer Dispute | Settled | $29,076.90 | $0.00 | See FINRA Report |
| Edward Lonnie Dover | 1514033 | 10 | 10/03/2007 | Customer Dispute | Denied | $34,000.00 | $0.00 | See FINRA Report |