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 |
|---|---|---|---|---|---|---|---|---|
| Mark Wayne Kelley | 4447318 | 1 | 07/21/2017 | Financial | Final | $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 |
| Elliot J Silverstein | 5706161 | 1 | 03/17/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles Ellsworth Bergamo | 6190768 | 1 | 01/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Erin McAndrew | 2448183 | 1 | 10/12/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dennis John Mojares | 2429489 | 6 | 10/11/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Wallach | 5810872 | 1 | 08/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Casey Lee Fox | 5003167 | 1 | 02/16/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew James Marcewicz | 4438982 | 1 | 09/28/2015 | Financial | Final | $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 |