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.
Investors apparently complained about securities broker Debra Dawn Mesle (also known as Debra Dawn Hanebrink and Debbie Mesle) [CRD: 849766, Chesterfield, Missouri], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesle worked for Merrill Lynch from June 30, 2006, to January 2, 2026, and has worked for Huntleigh Securities Corporation and Huntleigh […]
Investors potentially experienced sales practice violations by securities broker Francis Stephen Zoracki, also known as Frank Zoracki [CRD: 1363103, Irwin, Pennsylvania], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zoracki has worked for Cambridge Investment Research Inc. since September 28, 2011; Cambridge Investment Research Advisors Inc. since September 28, 2011; and Duncan […]
Investors may have suffered financial harm by securities broker and investment adviser Loren James Grabau [CRD: 6984490, Santa Maria, California], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Grabau worked for Independent Financial Group LLC from April 8, 2019, to August 19, 2025. See below to discover more about Grabau’s disclosures. […]
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