Tag Archives: M Holdings Securities Inc.

Investors Sue 1717 Capital Management For Misrepresentation

Michael Kenneth DePasquale (also known as Mikey DePasquale) of Cranford New Jersey a stockbroker associated with M Holdings Securities Inc. and 1717 Capital Management Company has been referenced in a customer initiated investment related civil action which was settled for $7,000.00 in damages supported by allegations that misrepresentations were made by the stockbroker pertaining to […]

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M. Holdings Stockbroker Brocker Accused Of Unauthorized Trading

January 09, 2020  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

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 […]

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FINRA Bars M Holdings Stockbroker In Theft Investigation

Dean Harrison Grant of Milledgeville Georgia a stockbroker formerly registered with M Holdings Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Grant failed to cooperate with FINRA in an investigation concerning Grant’s conversion of funds from customers of the […]

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M Holdings Admits To Failure To Supervise

July 16, 2018  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

M. Holdings Securities Inc. a brokerage firm headquartered in Portland Oregon has been censured and fined $135,000.00 by Financial Industry Regulatory Authority (FINRA) based upon the firm’s consent to findings that it failed to adequately supervise private securities transactions as well as the dissemination of consolidated reports. Letter of Acceptance Waiver and Consent No. 2017052293001 […]

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M Holdings Broker Fined For Outside Business Activities

Morey Herbert Goldberg of Wynnewood Pennsylvania a stockbroker formerly employed by M Holdings Securities Inc. has been fined $10,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in undisclosed outside business activities while registered with the firm. Letter of Acceptance […]

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