MOORS & CABOT, INC. of BOSTON, MA is an SEC-registered investment adviser (CRD 594). Regulatory assets under management: $3.4B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Michael Charles Braun | EVP/COO/DIRECTOR | — |
| Daniel Michael Joyce | DIRECTOR | — |
| Michael Christopher Hildreth | EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR | — |
| Mark David Garrett | DIRECTOR/CO-CHAIRMAN/TRUSTEE; TRUSTEE | — |
| Joseph Philip Cuetara | SVP FIXED INCOME/MUNICIPAL PRINCIPAL | — |
| Howard Hauser | OWNER | — |
| Katherine Rose Kelliher | SVP & CHIEF COMPLIANCE OFFICER | — |
| JOYCE MICHAEL | DIRECTOR; PRESIDENT/CEO/CHAIRMAN; PRESIDENT/CEO/DIRECTOR | — |
| FOLEY II CHARLES THOMAS | CHIEF FINANCIAL OFFICER/FINOP/COO | — |
| BRAUN MICHAEL CHARLES | EVP/COO; EVP/COO/DIRECTOR; EVP/FINOP/COO (+1 more) | — |
| MOREY ROBERT WILLIS | APPROVED PERSON | — |
| CUETARA JOSEPH PHILIP | SVP; SVP FIXED INCOME/MUNICIPAL PRINCIPAL | — |
| MOREY EDWARD BURKE | DIRECTOR; DIRECTOR/CO-CHAIRMAN; DIRECTOR/CO-CHAIRMAN/TRUSTEE | — |
| HILDRETH MICHAEL CHRISTOPHER | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/EVP/FINOP/ROP; CHIEF COMPLIANCE OFFICER/EVP/FINOP/ROP/DIRECTOR (+7 more) | — |
| LABRIE THOMAS FRANCIS | EXECUTIVE VICE PRESIDENT | — |
| GARRETT MARK DAVID | DIRECTOR/CO-CHAIRMAN; DIRECTOR/CO-CHAIRMAN/TRUSTEE; TRUSTEE | — |
| SVORINIC PETER | SVP CHIEF COMPLIANCE OFFICER | — |
| HARTNEY PETER JOSEPH | MUNICIPAL PRINCIPAL/SVP | — |
| GARRETT MARK | DIRECTOR | — |
| NGUYEN THOMAS THO | MUNICIPAL PRINCIPAL | — |
| MARTEL LAWRENCE GILBERT | CHIEF COMPLIANCE OFFICER | — |
| GENERAZIO THOMAS THO | CHIEF COMPLIANCE OFFICER/SVP/ROP | — |
| KELLIHER KATHERINE ROSE | SVP & CHIEF COMPLIANCE OFFICER | — |
| DOBROVOLNY JANET | TRUSTEE OF ROBERT W MOREY AND MAURA BURKE MOREY IRR TRUST | — |
| HAUSER HOWARD | OWNER | — |
Showing 10 of 14 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-01-19 | regulatory | THE SEC ALLEGED THAT MOORS & CABOT BREACHED ITS FIDUCIARY DUTY TO ADVISORY CLIENTS THROUGH ITS FAILURE, BETWEEN AT LEAST FEBRUARY 2017 AND SEPTEMBER 2021, TO FULLY AND FAIRLY DISCLOSE MATERIAL FACTS AND CONFLICTS OF INTEREST ASSOCIATED WITH CERTAIN REVENUE SHARING PAYMENTS AND FINANCIAL INCENTIVES T… | Final | $375K |
| 2013-10-22 | regulatory | FOR THE PERIOD 10/1/2012 - 12/31/2012 THE FIRM TRANSMITTED TO OATS 37 COMBINED ORDER/EXECUTION REPORTS THAT CONTAIONED INACCURATE, INCOMPLETE, OR IMPROPERLY FORMATTED DATA, SUBMITTED 9 COMBINED ORDER/EXECUTION REPORTS IT WAS NOT REQUIRED TO REPORT, AND SUBMITTED 36 RELATED STREET SIDE PROPRIETARY OR… | Final | $8K |
| 2012-11-21 | regulatory | FINRA RULES 2010, 7450(A), NASD RULE 3010 - MOORS & CABOT, INC. TRANSMITTED TO THE ORDER AUDIT TRAIL SYSTEM (OATS) EXECUTION OR COMBINED ORDER/EXECUTION REPORTS IMPROPERLY WITH A REPORTING EXCEPTION CODE OF "M" THAT WERE REQUIRED TO BE MATCHED TO A RELATED TRADE REPORT IN A FINRA TRANSACTION REPORTI… | Final | $30K |
| 2011-11-21 | regulatory | NASD RULES 6955(A) - MOORS & CABOT, INC. TRANSMITTED EXECUTION OR COMBINED ORDER/EXECUTION REPORTS TO THE ORDER AUDIT TRAIL SYSTEM (OATS) THAT CONTAINED INACCURATE, INCOMPLETE OR IMPROPERLY FORMATTED DATA. THE FIRM TRANSMITTED SOME REPORTS TO OATS IMPROPERLY WITH A REPORTING EXCEPTION CODE THAT WERE… | Final | $9K |
| 2011-05-13 | regulatory | SEC RULE 606 - MOORS & CABOT, INC., FOR SEVERAL CALENDAR QUARTERS, MADE PUBLICLY AVAILABLE REPORTS ON ITS ROUTING OF NON-DIRECTED ORDERS IN COVERED SECURITIES THAT WERE INCOMPLETE BECAUSE THEY DID NOT INCLUDE COVERED ORDERS FOR A PARTICULAR MARKET PARTICIPANT IDENTIFIER(MPID) OF THE FIRM. | Final | $10K |
| 2010-02-09 | regulatory | AT VARIOUS TIMES BETWEEN APRIL 2002 AND JUNE 2007 THE FIRM FAILED TO IMPLEMENT ONGOING AML TRAINING FOR APPROPRIATE PERSONNEL, FAILED TO IDENTIFY THE FIRM PERSONNEL RESPONSIBLE FOR REVIEWING THE AML EXCEPTION REPORTS, AND FAILED TO EVIDENCE THE REVIEW OF THOSE REPORTS. THE FIRM DID NOT CONDUCT AN IN… | Final | $165K |
| 2007-09-28 | regulatory | SEC RULES 605, 606 OF REGULATION NMS, 10B-10, 17A-3, 17A-4, NASD RULES 2110, 3010, 3110, 6955(A) - MOORS & CABOT, INC. FAILED TO SHOW THE CORRECT TIME OF ORDER ENTRY AND/OR EXECUTION ON BROKERAGE ORDER MEMORANDA; FAILED TO SHOW THE CORRECT TERMS AND CONDITIONS ON BROKERAGE ORDER MEMORANDA; FAILED TO… | Final | $40K |
| 2006-12-06 | regulatory | SECTION 17(A) OF THE SECURITIES ACT OF 1934, RULE 17A-3 THEREUNDER, NASD RULES 2110, 3110, 6320, MSRB RULES G-8 AND G-14: RESPONDENT MEMBER FIRM FAILED TO REPORT TO TRACE CORPORATE BOND TRANSACTIONS; FAILED TO TIMELY REPORT TRANSACTIONS TO THE MUNICIPAL SECURITIES RULEMAKING BOARD (MSRB); ITS ORDER… | Final | $75K |
| 2005-08-02 | regulatory | RESPONDENT MEMBER SUBMITTED TO OATS REPORTS WITH EQUITY SECURITIES TRADED ON THE NASDAQ STOCK MARKET THAT WERE NOT IN THE ELECTRONIC FORM PRESCRIBED BY NASD. THE FINDINGS ALSO STATED THAT THE REPORTS WERE REJECTED BY OATS AND NOTICE OF SUCH REJECTION WAS MADE AVAILABLE TO THE FIRM ON THE OATS WEBSIT… | Final | $11K |
| 2005-05-13 | regulatory | 1.VIOLATED EXCHANGE RULE 342(A) AND (B), IN THAT IT:(A)FAILED TO ADEQUATELY ENSURE REASONABLE SYSTEMS FOR SUPERVISION, REVIEW, AND FOLLOW-UP OF ERROR ACCOUNT TRANSACTIONS BY ONE OF THE FIRM'S EMPLOYEES WHO WAS THE FIRM'S DESIGNATED SENIOR SUPERVISING FLOOR BROKER; AND (B)FAILED TO PROVIDE FOR APPROP… | Final | $250K |