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 |
|---|---|---|---|---|---|---|---|---|
| Michael Kenneth Depasquale | 1963682 | 3 | 12/05/2018 | Customer Dispute | Settled | $12,000.00 | $0.00 | See FINRA Report |
| Michael Kenneth Depasquale | 1963682 | 3 | 08/10/2018 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Dennis John Mojares | 2429489 | 8 | 06/27/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Kenneth Depasquale | 1963682 | 3 | 04/11/2018 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| Dennis John Mojares | 2429489 | 8 | 02/14/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Douglas Brocker | 1951402 | 2 | 01/30/2018 | Customer Dispute | Denied | $25,851.00 | $0.00 | See FINRA Report |
| Joseph Michael Plume | 6826151 | 1 | 12/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Johnson Chaffee | 44040 | 4 | 10/20/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Joseph Litowitz | 2657861 | 2 | 09/12/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Douglas Brocker | 1951402 | 2 | 06/19/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |