Tom Rapp – Investment Adviser Suspended & Fined – May Recover Investor Losses
Former M HOLDINGS SECURITIES, INC. investment adviser, Tom Rapp – Suspended & Fined.
CRD#: 6367780
THOMAS ANTHONY RAPP (CRD#: 6367780), a former registered representative for M HOLDINGS SECURITIES, INC. in Morristown, NJ, was recently suspended after the broker consented to FINRA sanctions.
According to Rapp’s FINRA BrokerCheck report, Between June 2021and July 2023, Rapp participated in a private offering of limited partnership interests in the fund, which were securities sold pursuant to Regulation D of the Securities Act of 1933. In connection with the offering, Rapp corresponded with prospective investors and signed subscription agreements and regulatory filings
concerning the offering. The offering raised more than $11 million from approximately 15 investors, several of whom were also Rapp’s customers at M Holdings. Rapp did not earn any commissions in connection with the offering.
Former M HOLDINGS SECURITIES, INC. investment adviser, Tom Rapp – Suspended & Fined.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 4/9/25. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.