Thomas Rohn of Moloney Securities in Indianapolis, Indiana: Investor Alert and Regulatory Overview
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Haselkorn & Thibaut (investmentfraudlawyers.com), a national securities fraud law firm, has opened an investigation into Indianapolis-based financial advisor Thomas Rohn (CRD# 1306805) of Moloney Securities, doing business as Planned Investment Company. This report is designed for investors to deliver a clear, unbiased overview of Mr. Rohn’s public regulatory record, recent complaint history, and the steps investors can take if they have concerns about their accounts or investments.
Who is Thomas Rohn?
Thomas Rohn has over 41 years of experience in the securities industry and is registered as both a broker and investment advisor in Indianapolis, Indiana with Moloney Securities, operating under the name Planned Investment Company. Since 2018, he has served clients at this firm; before that, he was registered with Planned Investment Company from 1984 to 2018. Over his lengthy career, Rohn has passed multiple industry qualification exams and currently holds licenses in 32 states.
- Current Firm: Moloney Securities / Planned Investment Company
- Location: Indianapolis, Indiana
- Years of Experience: 41+
- Licenses: 32 States
Recent Investor Complaint Against Thomas Rohn
While Thomas Rohn maintained a spotless record for many years, as of August 2024, a noteworthy investor complaint was filed that merits careful attention:
| Filed | Allegations | Status | Requested Damages |
|---|---|---|---|
| August 2024 | Unsuitable investment recommendation and alleged negligence with GWG L Bonds | Pending | $100,000 |
The complaint alleges that Mr. Rohn recommended an unsuitable investment in GWG L Bonds and acted negligently. The client’s position became illiquid after GWG Holdings filed for Chapter 11 bankruptcy, making it impossible to sell the bonds. The broker-dealer eventually settled the matter for business reasons, with no admission of wrongdoing. Mr. Rohn has disputed the claim, maintaining he acted appropriately.
As of October 2025, there are no other disclosed customer complaints, regulatory actions, or disciplinary findings against Mr. Rohn, per FINRA BrokerCheck.
Regulatory and Complaint History
When evaluating any financial advisor, it is crucial to research their professional background and disclosure history. Here is a snapshot of Thomas Rohn’s public regulatory history as reviewed through June 2024:
- BROKERCHECK (FINRA): No prior customer arbitration awards, regulatory actions, or financial disclosures (such as bankruptcies or liens) before August 2024. See his BrokerCheck profile for real-time updates.
- SEC Actions: No enforcement orders or proceedings against Thomas Rohn or Planned Investment Company.
- State Regulators: No disciplinary orders found.
- Civil or Criminal Lawsuits: No lawsuits have been reported to date in federal court records or in major industry news outlets beyond the present investor complaint.
Red Flag: The recent GWG L Bond complaint is the first known dispute and spotlights the heightened risks of alternative investments, especially illiquid products that may not be suitable for every investor’s profile. If you held GWG L Bonds or similar high-risk products through Mr. Rohn, this could be relevant to your situation.
Key Takeaways for Investors
- Track Record: Aside from the 2024 pending complaint, there is no record of past regulatory or financial misconduct by Thomas Rohn.
- Single Complaint: The $100,000 GWG L Bond complaint is currently the only publicly reported client dispute and remains unresolved.
- GWG L Bonds: These investments became highly risky after GWG Holdings’ bankruptcy. If these products were represented as safe or low-risk to you, you may have grounds for a review or potential recovery.
- Ongoing Monitoring: Investors should regularly review their advisors’ backgrounds—complaints and regulatory actions may be updated at any time.
What Should You Do If You Have Concerns?
If you were recommended or sold GWG L Bonds or other complex, illiquid investments by Thomas Rohn (or any advisor at Moloney Securities / Planned Investment Company) you are not alone. There could be remedies available to you—even if you have not filed a formal complaint yet.
Haselkorn & Thibaut has recovered millions for investors nationwide and has a 98% success rate. Their team understands how stressful investment losses and adviser disputes can be, especially after a company bankruptcy. Take action early— it costs nothing to explore your options.
How to Monitor and Research Your Advisor
- Visit FINRA BrokerCheck: Search “Thomas Rohn” or CRD 1306805 for the latest complaint and regulatory detail updates.
- Check SEC EDGAR: Review regulatory documents and announcements for Moloney Securities or Planned Investment Company.
- Contact your state securities regulator for local disciplinary records or patterns of customer disputes.
- Consider setting Google Alerts for the advisor’s name and firm to stay informed of news or investigations as they arise.
Contact Haselkorn & Thibaut for a Free Investor Consultation
Your first consultation is always free and confidential. It costs nothing to find out if you have a valid recovery case. To speak with an experienced investment fraud attorney about your situation with Thomas Rohn (CRD# 1306805) at Moloney Securities / Planned Investment Company in Indianapolis, Indiana, call Haselkorn & Thibaut at 1-888-994-8066. No recovery, no fee.
With over 50 years of combined experience and millions recovered, Haselkorn & Thibaut has the resources to help investors evaluate their losses. If you were sold unsuitable investments, reach out today for personalized guidance and dedicated representation.
Protect your investments. Empower your future. You have rights—let us help you protect them.
