Michael Douglas Brocker of Woodbury Minnesota a stockbroker currently registered with M. Holdings Inc. is referenced in a customer initiated investment related written complaint on January 30, 2018 where the customer sought $25,851.00 in damages based upon accusations that the customer’s instructions had been disregarded by Brocker as it pertained to the rebalancing of stock positions in the customer’s M. Holdings Securities account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on June 19, 2017, a customer filed an investment related complaint in regard to Brocker’s conduct in which the customer requested damages estimated to exceed $5,000.00 supported by allegations that during the period in which Brocker was employed by Securian Financial Services Inc., misrepresentations had been made concerning a life insurance policy that he sold to the customer.
