Tag Archives: David Francis Dalton

Moors Cabot Stockbroker Sanctioned For Unauthorized Trading

February 25, 2020  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

David Francis Dalton of Boston Massachusetts a stockbroker formerly employed by Moors Cabot Inc. has been fined $7,500.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that (1) the stockbroker executed trades in customer accounts on a discretionary basis without getting approval […]

Read More »