Investors potentially experienced sales practice violations by securities broker Randall Duggan [CRD: 5559097, Lynden, Washington], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Randall Duggan worked for Moloney Securities Co. Inc. from January 29, 2016, to December 5, 2025, and Moloney Securities Asset Management LLC from February 23, 2016, to December 5, 2025, before registering with Berthel, Fisher Company Financial Services Inc. and BFC Planning Inc. beginning December 5, 2025. Keep reading to find out more about disclosures involving Randall Duggan and the allegations described in public records.
Randall Duggan is the subject of an investigation initiated by the State of Washington – Securities Division on July 15, 2025, into allegations that Duggan engaged in improper solicitation and recommendation of GWG-related securities when Duggan was associated with Moloney Securities Co. Inc. The investigation is reported as pending, and Duggan has stated that he refutes the allegations and is cooperating with the authorities.
Also, on August 5, 2025, a Moloney Securities Co. Inc. client filed FINRA Arbitration No. 25-01559 about Randall Duggan. Primarily, the client alleged that Duggan was negligent and made unsuitable recommendations during the period from 2017 through 2021. Because of this, the client allegedly experienced damages related to corporate bonds, real estate securities, and direct investments. Consequently, the client requested $500,000 in compensation from Moloney Securities Co. Inc. or Duggan. It appears that this arbitration is pending a resolution.
Particularly, a Moloney Securities Co. Inc. client filed FINRA Arbitration No. 24-01130 about Randall Duggan. Mainly, the client alleged that Duggan made unsuitable recommendations and was negligent. For this reason, the client allegedly incurred damages relating to direct investments and corporate bonds. Therefore, on April 15, 2025, Moloney Securities Co. Inc. settled this matter by paying the client $125,179.02 in damages.
Specifically, a client of Moloney Securities Co. Inc. contested Randall Duggan’s sales practices by filing FINRA Arbitration No. 24-00843. Allegedly, Duggan was negligent and made unsuitable recommendations. It appears that Duggan allegedly caused the client to sustain damages connected to corporate bonds. As a result, Moloney Securities Co. Inc. opted to settle the matter on April 8, 2025, by paying the client $25,000.
Evidently, a Moloney Securities Co. Inc. client filed FINRA Arbitration No. 23-01410 about Randall Duggan. Primarily, the client alleged negligence and unsuitable advice. Because of this, the client allegedly sustained damages relating to corporate bonds. Consequently, on December 5, 2024, Moloney Securities Co. Inc. settled this matter by paying the client $92,574.43 in damages.
Are you concerned regarding investments you made through Randall Duggan? Contact Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer regarding a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm works on a contingency fee basis and advances all costs. Duggan and brokerage firms Duggan worked for deny allegations of sales practice violations.
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: TEXAKOMA FINANCIAL, INC. and their registered representative, SHEA PETER KENNEDY (SHEA P KENNEDY) (Repondents). The Claimant resides in Nevada, and according to the lawsuit, around August of 2023, SHEA P KENNEDY contacted the Claimant unsolicited, apparently after the Claimant had […]
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
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