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Moors & Cabot

Scott Sibley-Former Raymond James Broker-Subject of Numerous Customer Complaints-Ft. Lauderdale, FL

Scott Sibley-Former Raymond James Broker-Subject of Numerous Customer Complaints-Ft. Lauderdale, FL 150 150 Rex Securities Law

March 2019-Boca Raton, FL According to publicly available records Scott Allen Sibley  , (CRD# 1523981) ,  a   former stockbroker who last worked for Moors & Cabot,  discloses 3 prior regulatory events, 1 pending…

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Scott Sibley-Former Raymond James Broker-Discloses Multiple Customer Disputes Alleging Abuse of the Elderly-Boca Raton, FL

Scott Sibley-Former Raymond James Broker-Discloses Multiple Customer Disputes Alleging Abuse of the Elderly-Boca Raton, FL 150 150 Rex Securities Law

April 2017-Boca Raton, FL According to publicly available records Scott Allen Sibley  , (CRD# 1523981) ,  a   former stockbroker who last worked for Moors & Cabot,  discloses 3 prior regulatory events, 2 pending…

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Former Raymond James StockBroker Barred From Industry for Taking Customer Funds

Former Raymond James StockBroker Barred From Industry for Taking Customer Funds 150 150 Rex Securities Law

October 8, 2015 Paul Anthony Steffany , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he he violated NASD and…

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Former Moors & Cabot Broker Sanctioned Over Unauthorized Annuity Advertisements

Former Moors & Cabot Broker Sanctioned Over Unauthorized Annuity Advertisements 150 150 Rex Securities Law

June 18, 2015-Boston, MA Lucian D. Hodgman  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between May and July…

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