The attorneys at Gana Weinstein LLP represent clients in securities disputes against investment firms, such as M Holdings Securities, Inc. (M Securities). Among the claims that may be brought on behalf of clients include misconduct related to securities fraud, failure to supervise,unauthorized trading, and various investment products. Our attorneys can analyze your brokerage account statements, confirmations, and trading activity to determine the extent of the financial losses and provide a consultation.
M Financial Group was founded in 1978 and began with 13 member firms. Today, M Financial Group claims more than 140 member firms in 37 states and the United Kingdom, and approximately 700 Marketers. M Financial maintains headquarters in Portland, Oregon, with a professional staff of more than 200 team members including actuaries, accountants, and product experts.
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In re M Holdings Securities, Inc., AWC No. 2006006455001 – M Securities was censured and fined $90,000 and ordered to pay $30,963.26, plus interest, in restitution to customers, and required to revise its supervisory procedures regarding fair pricing reviews of fixed income transactions. FINRA found that the firm sold corporate bonds to a customer and failed to sell such bonds at a price that was fair, taking into consideration market conditions with respect to each bond at the time of the transaction, the expense involved and that the firm was entitled to a profit. In each alleged instance, the same registered representative who was employed in a branch office sold the bonds. The findings stated that the firm’s supervisory system did not provide for supervision reasonably designed to achieve compliance with applicable securities laws for fair pricing reviews of fixed income transactions and qualifying supervisory personnel.
Our attorneys has successfully represented hundreds of investors in their broker disputes with their advisor firms. Our consultations are free and we welcome all inquiries.