Haselkorn & Thibaut Opens Investigation: Thomas Rohn, Moloney Securities (Planned Investment Company), Indianapolis, Indiana
Haselkorn & Thibaut (investmentfraudlawyers.com), a national securities fraud law firm with over 50 years of experience, is currently investigating investor complaints related to Thomas Rohn (CRD# 1306805) of Indianapolis, Indiana. Mr. Rohn is registered with Moloney Securities, doing business as Planned Investment Company. If you have concerns about your investments with Mr. Rohn or Moloney Securities, you may be entitled to recover losses—contact Haselkorn & Thibaut at 1-888-994-8066 for a free, confidential consultation.
Overview: Who Is Thomas Rohn?
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Thomas Rohn is a financial advisor and broker based in Indianapolis, Indiana. He currently serves as a representative of Moloney Securities, where he has worked since 2018, operating under the name Planned Investment Company. Mr. Rohn brings over 41 years of experience in the securities industry, holding licenses in 32 states. He has successfully passed multiple industry examinations, including:
- Securities Industry Essentials Examination (SIE)
- Uniform Investment Adviser Law Exam (Series 65)
- Uniform Securities Agent State Law Exam (Series 63)
- General Securities Representative Exam (Series 7)
- Investment Company Products/Variable Contracts Representative Exam (Series 6)
- Financial and Operations Principal Exam (Series 27)
- Operations Professional Exam (Series 99TO)
Customer Complaints and Disclosures: What Investors Need to Know
It’s important for investors to understand the compliance record of their advisor. According to the most recent data, Mr. Rohn’s BrokerCheck profile shows one pending investor complaint. Here are the details:
| Filing Date | Allegations | Status | Claimed Damages | Advisor Response |
|---|---|---|---|---|
| August 2024 | Recommended an unsuitable investment in GWG L bonds; alleged negligence. | Pending | $100,000 | Mr. Rohn states that the complaint arose after the issuer (GWG Holdings) filed for bankruptcy. He indicates inability to liquidate the investment prior to bankruptcy and disputes the allegations. Moloney Securities chose to settle for business purposes, without admitting wrongdoing. |
Current Status: The complaint is still pending, and there are no regulatory findings or admissions at this time.
Regulatory, Legal, and Media Record: A Closer Look
To provide investors with a comprehensive understanding, Haselkorn & Thibaut has examined public record sources regarding Thomas Rohn’s history as a financial advisor.
- FINRA BrokerCheck Disclosures: Other than the 2024 pending complaint, there are no previous customer disputes, arbitrations, regulatory actions, civil judgments, liens, or bankruptcy filings reported on Mr. Rohn’s record.
- SEC Actions: No enforcement actions, investigations, or litigation releases involving Thomas Rohn.
- Court Filings: A search of federal and state court dockets (PACER and others) reveals no lawsuits, civil, or criminal cases naming Mr. Rohn as defendant.
- Media/Press: There are no news reports or regulatory bulletins noting prior complaints, regulatory probes, or lawsuits regarding Mr. Rohn.
- Internal Firm Disciplinary Records: No disclosures published by Moloney Securities or Planned Investment Company indicating disciplinary incidents related to Mr. Rohn.
If you would like to independently verify or monitor disclosures, you can review Mr. Rohn’s profile on FINRA BrokerCheck.
Understanding Red Flags and Risks: Suitability, GWG L Bonds, and Investor Rights
The current complaint against Mr. Rohn centers on his recommendation of GWG L bonds. Here’s what investors should keep in mind:
- Suitability Standard: Advisors have a duty to recommend investments that align with each client’s risk tolerance, investment objectives, and financial profile.
- GWG L Bonds: These bonds were high-yield, illiquid investments. The issuing company’s bankruptcy heightened investor risks and losses.
- Advisor Responsibility: The claim alleges unsuitable recommendation and negligence. While Mr. Rohn disputes these allegations, and no wrongdoing has been proven, this type of complaint may be a red flag for investors considering or holding similar products.
Summary Table: Thomas Rohn – Complaint and Regulatory Overview
| Category | Disclosures/Actions |
|---|---|
| Customer Complaints (pending) | 1 (GWG L bonds; suitability/neglect, $100,000) |
| Prior Complaints, Arbitrations, Awards | 0 |
| Regulatory Actions (FINRA, SEC, State) | 0 |
| Lawsuits (Federal, State) | 0 |
| Firm Disciplinary Disclosures | 0 |
What Should You Do If You Have Concerns?
If you invested in GWG L bonds or otherwise worked with Thomas Rohn at Moloney Securities (Planned Investment Company) and believe you suffered unnecessary losses or received unsuitable investment advice, take proactive steps:
- Gather your statements and communications.
- Request a free, confidential consultation with an investment loss attorney.
- Ask about your rights and the recovery process—no recovery, no fee.
Contact Haselkorn & Thibaut for a Free Review
Haselkorn & Thibaut is a national firm with a 98% success rate, over $100 million recovered for clients, and over 50 years of experience representing wronged investors. Our services are confidential, and there are no out-of-pocket costs to you—if there’s no recovery, you pay nothing.
Remember, acting early is the best way to preserve your legal options and maximize potential recoveries. Don’t wait—reach out to our experienced investment loss attorneys and ensure that your financial future is protected.
