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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Decatur | 1212531 | 6 | 09/10/2003 | Customer Dispute | Settled | $547,000.00 | $0.00 | See FINRA Report |
| Paul Lawrence Fowler | 1092715 | 6 | 05/28/2003 | Customer Dispute | Settled | $357,000.00 | $0.00 | See FINRA Report |
| Kenneth Todd Griffin | 1946479 | 1 | 10/21/2002 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Neal Edward Milton | 2642841 | 1 | 06/07/2002 | Customer Dispute | Closed-No Action | $250,000.00 | $0.00 | See FINRA Report |
| Thomas Alexander Hand | 2906360 | 1 | 05/08/2002 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Edward Bradford Buttner | 2592082 | 1 | 02/21/2002 | Customer Dispute | Settled | $22,000.00 | $0.00 | See FINRA Report |
| Paul Lawrence Fowler | 1092715 | 6 | 07/06/2001 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| James Eugene Vinick | 454934 | 19 | 03/05/2001 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Thomas Christopher Obrien | 1081204 | 1 | 10/16/2000 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Michael Joseph Surprenant | 2458986 | 10 | 03/14/2000 | Customer Dispute | Denied | $334,879.00 | $0.00 | See FINRA Report |