Moors & Cabot – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Moors & Cabot. If you suffered losses investing with Moors & Cabot, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Moors & Cabot (CRD# 594) (SEC# 8-23060)
As of August 24, 2016, Moors & Cabot’s FINRA BrokerCheck Report contains the following:
27 Regulatory Event Disclosures
0 Civil Event Disclosures
3 Arbitration Disclosures
2 Bond Disclosures
Main Office Location
111 DEVONSHIRE STREET
BOSTON, MA 02109
Mailing Address
111 DEVONSHIRE STREET
BOSTON, MA 02109
Business Telephone Number
617-426-0500
Direct Owners and Executive Officers
MOREY, ROBERT WILLIS (CRD# 2127551) – APPROVED PERSON
GARRETT, MARK DAVID (CRD# 5563014) – DIRECTOR/CO-CHAIRMAN
MOREY, EDWARD BURKE (CRD# 2770812) – DIRECTOR/CO-CHAIRMAN
BRAUN, MICHAEL CHARLES (CRD# 2005370) – EVP/COO/DIRECTOR
CUETARA, JOSEPH PHILIP (CRD# 58308) – SVP FIXED INCOME/MUNICIPAL PRINCIPAL
GENERAZIO, THOMAS THO (CRD# 4670078) – CHIEF COMPLIANCE OFFICER/SVP/ROP
HILDRETH, MICHAEL CHRISTOPHER (CRD# 2386839) – EVP/CFO/FINOP/DIRECTOR
JOYCE, DANIEL MICHAEL (CRD# 1060819) – PRESIDENT/CEO/DIRECTOR
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Moors & Cabot and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
