Moors & Cabot Archives - Rex Securities Law-BLOG

Rex Securities Law
March 28, 2017
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 28, 2017 June 19, 2017

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…

Rex Securities Law
June 19, 2015
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Former Moors & Cabot Broker Sanctioned Over Unauthorized Annuity Advertisements

Former Moors & Cabot Broker Sanctioned Over Unauthorized Annuity Advertisements https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 19, 2015 April 14, 2016

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…