Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Rapp (Rapp), currently associated with M Holdings Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Rapp recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,234,482.59 on December 11, 2024.
Client alleges the registered representative failed to exercise reasonable care and diligence in the sale of a Fixed Universal Life Insurance policy, including alleged failure to disclose the characteristics, costs and pricing of the policy. Policy signed 10/27/2021
