RHODES CUTTLE PALMER

RHODES CUTTLE PALMER is currently employed as a Broker and/or Investment Adviser at MOORS & CABOT, INC. located at 744 DAVISON ROAD, LOCKPORT, NY, 14094.

RHODES CUTTLE PALMER has worked at MOORS & CABOT, INC. since June 20, 2008

Disclosure History

RHODES CUTTLE PALMER has 1 Disclosure Event(s).

Date: October 07, 1998
Category: Customer Dispute
Allegations: ALLEGED MR. PALMER DID NOT HAVE CLIENT`SCERTIFICATE FOR NIAGRA BANKORP REREGISTERED IN A TIMELYFASHION, AND AS A RESULT, HE WAS UNABLE TO SELL 3000 SHARES AT15 THUS INCURRING UNREALIZED LOSSES OF $19,500.00.
Damage Amount Requested: $19,500.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for RHODES CUTTLE PALMER, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.