Haselkorn & Thibaut has launched an investigation into Jeff Mahoney, a financial advisor based in Lakeville, Minnesota, currently registered with Van Clemens & Company and operating as inFORM Financial Planning. If you are a current or former client of Jeff Mahoney, understanding his regulatory record, recent investor complaints, and background is essential to protecting your investments and making informed decisions about your financial future.
Who Is Jeff Mahoney — Lakeville, MN Advisor at Van Clemens & Company?
Jeff Mahoney (CRD# 5333809) boasts nearly two decades of experience in the securities industry. He is presently a registered broker with Van Clemens & Company and an investment advisor with Van Clemens Wealth Management, under the business name inFORM Financial Planning. His professional history includes prior roles with FBL Marketing Services, Herbert J. Sims & Company, and BC Ziegler & Company.
Key Credentials & Registrations
- 18 years of experience in the securities industry
- Current registrations with Van Clemens & Company and Van Clemens Wealth Management
- Has passed the SIE, Series 66, and Series 7 qualifying examinations
- Licensed in Arizona, Florida, Iowa, Minnesota, North Dakota, and South Dakota
Investor Complaint: What Happened?
A recent investor complaint disclosed in industry records focuses on allegations that Jeff Mahoney recommended unsuitable private placement investments between 2013 and 2019 while previously affiliated with Herbert J. Sims & Company. The claim, filed in December 2025, is currently pending and seeks damages up to $150,000.
Allegations in Detail:
- Recommendation of investments that allegedly did not align with the client’s financial background or risk tolerance
- Private placements are often considered higher risk and may not be suitable for all investors
Table: Reported Customer Complaint Against Jeff Mahoney
| Date Filed | Alleged Misconduct | Products Involved | Period | Amount Claimed | Status |
|---|---|---|---|---|---|
| Dec 2025 | Alleged unsuitable investment recommendations | Private Placements | 2013–2019 | $150,000 | Pending |
Regulatory Background Check: Key Findings
When reviewing an advisor, it’s crucial to assess their official records for signs of potential red flags. As of January 2026, a search of FINRA BrokerCheck and other public resources for Jeff Mahoney reveals the following:
- No customer-initiated disputes, arbitrations, or written complaints alleging sales practice violations or negligence on his BrokerCheck file
- No regulatory actions by FINRA or state securities authorities
- No criminal charges, civil judicial actions, or bankruptcy filings associated with Jeff Mahoney
- No reported SEC enforcement orders or administrative proceedings
- No other public disclosures related to his prior roles at Herbert J. Sims & Company, FBL Marketing Services, or BC Ziegler & Company
Summary Table: Regulatory & Legal Disclosures for Jeff Mahoney
| Category | Disclosures |
|---|---|
| Customer Complaints | None Reported |
| Arbitrations or Lawsuits | None Reported |
| Regulatory Actions | None |
| Bankruptcies or Judgments | None |
Industry Standards: Suitability & Best Interest Rules
Under FINRA Rule 2111, brokers must ensure that their recommendations are suitable for each investor’s unique circumstances, accounting for factors such as age, net worth, investment goals, risk tolerance, and financial experience. Similarly, the SEC’s Regulation Best Interest requires brokers to put investors’ best interests ahead of their own at the time of any recommendation.
Private placement investments, in particular, are complex, high-risk, and illiquid by nature. It’s essential that these recommendations be carefully considered for suitability, as unsuitable placements can cause significant financial loss to investors seeking stable returns or preservation of capital.
Red Flags & What Investors Need to Know
- Pending claim for $150,000 in alleged unsuitable investment recommendations in private placements
- Prior employment with firms known for selling complex or higher-risk investment products
- Complex investment products require elevated due diligence and close attention to client suitability
Why Work with an Experienced Securities Law Firm?
Investing is personal, and when things go wrong, the impact can be deeply felt. Haselkorn & Thibaut is a national securities fraud law firm with over 50 years of combined experience, an exemplary 98% success rate, and a track record of recovering millions for clients across the United States. Because the law firm works on a “no recovery, no fee” basis, you face no upfront costs.
If you are concerned about recommendations you’ve received from Jeff Mahoney at Van Clemens & Company (inFORM Financial Planning) — or if you have suffered unexplained losses or suspect your investments may have been unsuitable — you are not alone. Understanding your options and the recovery process is the first step.
Your Next Step — Free and Confidential Consultation
The experienced attorneys at Haselkorn & Thibaut are available to review your account and evaluate your circumstances. There is never any charge for your consultation, and every conversation is kept strictly confidential. Call 1-888-885-7162 today or visit investmentfraudlawyers.com to schedule your free case review.
The Bottom Line for Jeff Mahoney Clients
While no regulatory actions or final findings of misconduct are currently documented on Jeff Mahoney’s official record, a significant pending investor complaint raises questions about suitability and advisory best practices. Staying proactive is important, especially if you feel your financial interests were not prioritized or you do not fully understand your investment portfolio.
If you are a current or former client of Jeff Mahoney or Van Clemens & Company and would like a thorough assessment of your investments, Haselkorn & Thibaut can help you determine the next steps. Your consultation is both complimentary and confidential.
Act today — safeguarding your retirement and life savings starts with the right advice and strong advocacy.
