Investors potentially experienced sales practice violations due to securities broker Robert John Gustafson [CRD: 5753473, Epping, New Hampshire], according to disclosures on FINRA BrokerCheck. Evidently, Gustafson has been registered with Moloney Securities Co. Inc. since September 18, 2015, and with Moloney Securities Asset Management LLC since March 13, 2017. See the following information to find out more about the disclosures involving Gustafson and his employers.
Robert Gustafson is the subject of an investigation initiated by the New Hampshire Bureau of Securities Regulation on January 30, 2025, into allegations that Gustafson and Moloney Securities Co. Inc. violated the Uniform Securities Act in connection with the solicitation and recommendation of GWG-related securities, including L-Bonds and preferred stock.
Specifically, a client of Moloney Securities Co. Inc. disputed Robert Gustafson’s sales practices by filing FINRA Arbitration No. 22-01737. Allegedly, Gustafson was negligent and made unsuitable recommendations. It appears that Gustafson caused the client to sustain damages connected to corporate bonds. Consequently, Moloney Securities Co. Inc. opted to settle the matter on December 29, 2023, by compensating the client in the amount of $56,000.
Do you have concerns or questions regarding investments you made with Robert Gustafson? You should contact Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer about a possible recovery of your investment losses. For more than a decade, Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee basis and advances all costs. Gustafson and brokerage firms Gustafson worked for deny accusations 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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