Robert Franklin Muller Jr.

(CRD #1778892, Dallas, Texas)

April 17, 2025 – An AWC was issued in which Muller was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for four months. Without admitting or denying the findings, Muller consented to the sanctions and to the entry of findings that he participated in a private securities transaction by selling $400,000 in limited partnership interests for a retail business franchise to six investors without prior disclosure to, or approval from, his member firm. The findings stated that the investors were not brokerage customers of the firm. Muller formed a limited partnership to raise capital for the acquisition and operation of a retail business franchise. Muller was the sole manager of the general partner of the limited partnership. Muller did not receive selling compensation at the time he sold the limited partnership interests, but he expected future compensation in the form of cash distributions and service fees. Muller did not provide prior written notice to his firm of his formation of the limited partnership, his sale of limited partnership interests to investors, or his expectation of compensation. Subsequently, Muller completed an annual compliance questionnaire in which he did not disclose to the firm that he had been involved in a private securities transaction. The suspension is in effect from April 21, 2025, through August 20, 2025. (FINRA Case #2024080917901) If you have suffered losses as a result of Robert Franklin Muller Jr.'s act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Robert Franklin Muller Jr. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-618-0545 or email Matthew Schwartz directly at mschwartz@tslfirm.com.