Thomas Rohn: $100K GWG Complaint Against Moloney Advisor

Indianapolis, Indiana financial advisor Thomas Rohn (CRD# 1306805) allegedly recommended an unsuitable investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Moloney Securities, doing business as Planned Investment Company.

Mr. Rohn’s BrokerCheck report discloses one investor complaint. Filed in August 2024, it alleges that as a representative of Moloney Securities, he recommended an unsuitable investment and acted negligently. The pending complaint alleges damages of $100,000.

In a statement included with the complaint’s disclosure, Mr. Rohn defended himself against the allegations. “The client was an investor in GWG L bonds at the time the company filed for bankruptcy,” he wrote. “Due to the structure of the bonds, we were unable to liquidate the investment prior to the Chapter 11 filing. The broker-dealer elected to settle the matter for business purposes without admitting any wrongdoing or liability. We continue to dispute the allegations made in the claim.”

According to the Financial Industry Regulatory Authority, Thomas Rohn holds 41 years of securities industry experience. Based in Indianapolis, Indiana, he has been registered as a broker and an investment advisor with Moloney Securities since 2018, doing business as Planned Investment Company. He was previously registered with Planned Investment Company in Indianapolis from 1984 until 2018. His credentials include the passage of seven securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Investment Adviser Law Examination, or Series 65; 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; the Financial and Operations Principal Examination, or Series 27; and the Operations Professional Exam, or Series 99TO. He holds 32 state licenses. (Information current as of October 25, 2025.)

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