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James Pillow Fired from Moors & Cabot

James Pillow (CRD #: 2991508), a broker registered with Cambridge Investment Research, was fired from his previous firm, according to his BrokerCheck record, accessed on May 15, 2025. Investors may have also engaged his services through Cambridge Investment Research Advisors. Read on if you want to know more about his alleged conduct as a broker.

Termination from Moors & Cabot

On February 26, 2025, Moors & Cabot fired James Pillow for allegedly failing to disclose a financial judgement.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Civil Lien

On January 15, 2025, James Pillow incurred a $32,814.10 civil lien.

Background Information

James Pillow has passed the following exams:

  • General Securities Sales Supervisor – General Module Examination – Series 10
  • General Securities Sales Supervisor – Options Module Examination – Series 9
  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Uniform Combined State Law Examination – Series 66

James Pillow is a registered broker in Florida, South Carolina, and Texas. He is also a registered investment adviser in Florida and Texas.

He has also worked for the following firms:

  • Moors & Cabot (CRD#:594)
  • Wells Fargo Clearing Services (CRD#:19616)
  • The Huntington Investment Company (CRD#:16986)
  • Raymond James Financial Services (CRD#:6694)
  • American Express Financial Advisors (CRD#:6363)
  • IDS Life Insurance Company (CRD#:6321)

Kurta Law Can Help

If you worked with James Pillow and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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