Our Staff has compiled our research into a database of FINRA Broker Disclosures for M Holdings Securities, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Casey Lee Fox | 5003167 | 1 | 02/16/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Harold Philip Shannon | 1015669 | 1 | 07/21/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Joseph M Derosa | 2393546 | 1 | 07/18/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Francis Dewey Burke | 841681 | 2 | 12/27/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard Dean Spivey | 1062792 | 1 | 07/11/2013 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| John William Dedominic | 2225779 | 2 | 01/12/2012 | Customer Dispute | Settled | $935,192.00 | $0.00 | See FINRA Report |
| Steven Paul Mignogna | 5421485 | 1 | 10/28/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carl William Doerschler | 2917173 | 4 | 10/28/2011 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Raymond Charles Nash | 4454291 | 3 | 07/15/2011 | Customer Dispute | Denied | $34,160.00 | $0.00 | See FINRA Report |
| Richard Michael Smarg | 816052 | 1 | 05/17/2011 | Customer Dispute | Settled | $1,400,000.00 | $0.00 | See FINRA Report |