Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Mongie (Mongie), previously associated with M Holdings Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mongie 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 $300,000.00 on November 13, 2020.
Consumer alleges failure to timely cancel insurance policy.