Rob Goff: FINRA Suspends, Fines Ex-Wells Fargo Advisor

Former East Lansing, Michigan financial advisor Rob Goff (CRD# 4388671) was recently sanctioned and suspended in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was most recently registered as a broker with Wells Fargo Clearing Services.

A Letter of Acceptance, Waiver, and Consent (No. 2024082784301) describes FINRA’s disciplinary action against Mr. Goff. Filed in January 2026, it alleges that he “exercised discretion without written authorization in 12 customer accounts,” in violation of industry rules. More specifically, it alleges that he effected a total of 46 transactions in the accounts of 12 customers. “Although the customer understood that [he] was exercising discretion in their accounts,” he allegedly did not have their prior written authorization to do so, and he did not speak with them before executing the transactions. Additionally, FINRA found, Wells Fargo did not accept the accounts in question as discretionary.

According to the AWC Letter, Mr. Goff exercised a level of discretion that “extended beyond time and price discretion, and included exercising discretion with regard to which securities to purchase and sell and in what amounts.” He also allegedly attested on firm compliance questionnaires that he had not exercised discretion in customer accounts. As the Letter notes, FINRA Rule 3260 prohibits representatives from exercising discretion in customer accounts accounts without prior written authorization from the customer and the firm’s written acceptance of the accounts of discretionary. Violations of this rule are considered violations of FINRA Rule 2010, under which “associated persons to observe high standards of commercial honor and just and equitable principles of trade in the conduct of their business.” As a result of these findings, FINRA suspended Mr. Goff for one month and ordered him to pay a fine of $5,000.

Mr. Goff’s BrokerCheck report discloses his resignation from Wells Fargo Clearing Services. Filed in 2024, the disclosure states that he was “Permitted to resign after a review of concerns involving unauthorized trading in client accounts.”

According to the Financial Industry Regulatory Authority, Rob Goff holds 23 years of securities industry experience. Most recently based in East Lansing, Florida, he was last registered with Wells Fargo Clearing Services from 2022 until 2024. His past registrations include Fifth Third Securities, LPL Financial, IFMG Securities, H&R Block Financial Advisors, Chase Investment Services, Banc One Securities Corporation, and Financial Network Investment Corporation. His credentials include the passage of five securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Combined State Law Examination, or Series 66; the Uniform Securities Agent State Law Examination, or Series 63; the General Securities Representative Examination, or Series 7; the Investment Company Products/Variable Contracts Representative Examination, or Series 6;. He is not currently registered with any state or firm. (Information current as of January 29, 2026.)

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