Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Buckwald (Buckwald), currently associated with M Holdings Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Buckwald recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on July 02, 2021.
Mr. Buckwald is a named respondent. Consumer alleges forgery of trustee’s signatures on insurance policy application; replacement and application of an insurance policy without consent; and unsuitability of insurance product. The alleged activity occurred in 2019.