ROBERT GIST CRD# 716088
was permanently barred by FINRA for allegedly misappropriating millions dollars from 30 of his customers. This occurred, according to the FINRA report, from 2003 through 2011. Robert A. Gist, Atlanta, GA, allegedly told his clients that he would invest his clients' financial investments in securities positions. Instead of investing the money, Robert Gist allegedly invested the clients’ money in ENCAP Technologies, LLC – which happened to be a company co-founded by Robert A. Gist. Robert Gist allegedly created and sent account statements with fictitious securities positions to his customers every six months. Gist also allegedly sold units of ENCAP Technologies, or used other investors funds, in order to make payments to his customers.
According to FINRA's BrokerCheck, Robert Gist is no longer registered with FINRA. Gist was previously registered with FINRA at the following brokerage firms:
RESOURCE HORIZONS GROUP LLC
CRD# 104368
ATLANTA, GA
03/2001 - 12/2011
CENTENNIAL CAPITAL MANAGEMENT, INC.
CRD# 38988
ATLANTA, GA
11/1997 - 03/2001
CADARET, GRANT & CO., INC.
CRD# 10641
SYRAC-- USE, NY
07/1993 - 09/1997
If you have experienced a financial loss due to Robert Gist, a former broker with Resource Horizons Group, LLC, call Soreide Law Group at (888) 760-6552 for a free consultation with an attorney.
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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