All Moors & Cabot articles
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Blog
Moors and Cabot announces chief compliance officer
Investment wealth advisory firm Moors and Cabot announced the promotion of Katherine Kelliher to senior vice president, chief compliance officer.
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News Brief
Moors & Cabot to pay $1.9M for conflict of interest disclosure lapses
Investment adviser Moors & Cabot reached a $1.9 million settlement with the Securities and Exchange Commission over allegations the firm didn’t fairly disclose conflicts of interest associated with incentive payments it received from two unaffiliated clearing brokers.