M Holdings Securities – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with M Holdings Securities. If you suffered losses investing with M Holdings Securities, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
M Holdings Securities (CRD# 43285) (SEC# 8-50214)
As of September 12, 2016, M Holdings Securities’s FINRA BrokerCheck Report contains the following:
1 Regulatory Event Disclosures
0 Civil Event Disclosures
0 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
1125 N.W. COUCH STREET
SUITE 900
PORTLAND, OR 97209
Mailing Address
P.O. BOX 2207
PORTLAND, OR 97208-2207
Business Telephone Number
800-656-6960
Direct Owners and Executive Officers
M FINANCIAL HOLDINGS INCORPORATED – EQUITY OWNER
BYRNE, DANIEL FRANCIS (CRD# 2888922) – DIRECTOR
CHANG, STEVEN BYUNGKWAN (CRD# 4386630) – MSRB PRINCIPAL
DAY, FRANK EDMUND (CRD# 3151160) – CHIEF COMPLIANCE OFFICER, ROSFP
JONSKE, FRED HENRY – CHAIR
KUKAR, KEVIN BRUCE (CRD# 4605225) – TREASURER
ROGERS, MARIA RENEE (CRD# 2442526) – FINANCIAL PRINCIPAL
SCHUTT, DAVID WALTER (CRD# 2736264) – SECRETARY
STEPHENS, KENNETH DALE (CRD# 6623419) – PRESIDENT, CEO
WATROS, ROBERT DAVID (CRD# 4430563) – V.P.
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with M Holdings Securities and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
