Robert Wylie Goff

(CRD #4388671, Davison, Michigan)

January 27, 2026 – An AWC was issued in which Robert Wylie Goff was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for one month. Without admitting or denying the findings, Goff consented to the sanctions and to the entry of findings that he exercised discretion in customer accounts without written authorization from the customers, and without his member firm accepting the accounts as discretionary. The findings stated that Goff effected 46 trades in 12 customer accounts without first speaking with the customers prior to execution on the date of the transactions. The customers understood that Goff was exercising discretion in their accounts. Goff’s exercise of discretion extended beyond time and price discretion, and included exercising discretion with regard to which securities to purchase and sell and in what amounts. In addition, Goff inaccurately stated in an annual compliance questionnaire submitted to his firm that he had not exercised discretion in customer accounts. The suspension was in effect from February 2, 2026, through March 1, 2026. (FINRA Case #2024082784301) If you have suffered losses as a result of Robert Wylie Goff’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 Wylie Goff. 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 866-330-6707 or email Matthew Schwartz directly at mschwartz@tslfirm.com.