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 | 02/17/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Decatur | 1212531 | 6 | 08/03/1994 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Robert Smith Gesdorf | 1474294 | 7 | 05/19/1994 | Customer Dispute | Withdrawn | $20,000.00 | $0.00 | See FINRA Report |
| Stephen Decatur | 1212531 | 6 | 10/21/1993 | Customer Dispute | Settled | $17,225.00 | $0.00 | See FINRA Report |
| Stephen Decatur | 1212531 | 6 | 08/17/1993 | Customer Dispute | Settled | $280,000.00 | $0.00 | See FINRA Report |
| James Eugene Vinick | 454934 | 19 | 04/14/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Eugene Vinick | 454934 | 19 | 11/27/1991 | Customer Dispute | Settled | $133,000.00 | $0.00 | See FINRA Report |
| James Eugene Vinick | 454934 | 19 | 11/06/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Lawrence Fowler | 1092715 | 6 | 07/24/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Eugene Vinick | 454934 | 19 | 05/06/1991 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |