M Holdings Securities Investment, Inc.
Investment Fraud Lawyers Recover Wrongful Losses Due to Negligence
Established in 2000, M Holdings Securities Investment, Inc. is a full-service,
independent broker-dealer. A subsidiary of M Financial Group – a
financial securities distribution company – M Securities is exclusive
to the member firms of M Financial Group and primarily offers variable
insurance products. M Securities has its headquarters located in Portland,
Oregon. They now oversee nearly
1,000 representatives, a large firm indeed.
M Holdings is a member of the Financial Industry Regulatory Authority (FINRA).
One of the legal duties of every FINRA-licensed firm is to oversee every
single one of their representatives to ensure ethical trading on behalf
of investor interests. Supervising 1,000 representatives is a difficult
endeavor under the best of circumstances –
failure to supervise often results in a culture of underhanded trading
tactics and misappropriation of investor assets.
When a broker acts unethically or negligently, causing major losses to
an investor, FINRA holds the firm responsible for the broker’s actions
by citing the firm’s failure to supervise the broker. Essentially,
FINRA allows investors the right to file claims directly against the firms
whose brokers act fraudulently or recklessly. If you have suffered severe damages to your assets, you may have legal
recourse to recover losses directly from M Holdings Securities. Meyer
Wilson investment law attorneys can show you the way.
No Supervision Leads to Unfair Pricing
As a demonstration of the need for FINRA principles, in 2011 M Holdings
was fined for 2 different violations. The first violation was their failure
to build a supervisory procedure for their brokers. Without a supervisory
procedure, it would be impossible to competently provide oversight to
nearly 1,000 employees. Quite frankly, it would be difficult under the
best of circumstances, so a lack of supervision is unsurprising, though
The second violation was indirectly caused by the first – a broker
for M Holdings was caught selling corporate bonds at prices that were
“unfair and unreasonable,” essentially overcharging to pump
up the commission. He sold 61 shares at dishonest pricing before he was
discovered nearly 2 months later.
This is exactly the sort of behavior that Meyer Wilson punishes on your behalf.
Do Not Face Financial Giants Alone
While FINRA provides investors with the opportunity to recoup their losses
against the firms who failed to supervise their brokers, FINRA’s
concern is policing the financial industry.
Meyer Wilson’s only concern is the recovery of your assets. We have the skill and experience to bring claims against powerful investment
firms with success. Our investment fraud attorneys recovered $350 million
for our clients, so you can be confident that we will make your voice heard.
Don’t let M Holdings Securities Investment, Inc. get away with being
careless with your assets. Call Meyer Wilson today for a
free case evaluation to help you determine your strongest move.