Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gaylord Rohloff (also known as Gaylord Rohloff) [CRD#: 1542216, Westlake Village, California].
Gaylord Rohloff has been employed at Western International Securities, Inc. since May 27, 2008.
On July 31, 2024, a client of Western International Securities, Inc. filed a complaint alleging that an investment was unsuitable. The client is seeking $350,000 in damages. This matter is currently pending resolution.
On April 26, 2024, a client filed a complaint claiming that investment recommendations were unsuitable and misrepresented. The case involves corporate debt products and is currently under arbitration (FINRA Arbitration No. 24-00890) with damages of at least $5,000.
On May 28, 2024, a dispute involving real estate securities was denied. The client alleged unsuitability, claiming damages of $10,000; however, no compensation was awarded.
On May 23, 2024, a client’s complaint was settled. The client alleged unsuitability concerning a real estate security, requesting $9,000 in damages. Western International Securities resolved the matter by paying $4,500.
A previous client dispute from March 3, 2023, resulted in a settlement of $25,000. The allegations involved unsuitability and negligence linked to real estate investment trusts (REITs), with requested damages of $5,000 (FINRA Arbitration No. 23-00506).
On September 28, 2022, another dispute concerning corporate debt products alleged negligence. The case was settled on August 15, 2023, with $78,500 paid to the client, of which $26,870 was contributed by Rohloff himself (FINRA Arbitration No. 22-01888).
If so, reach out to Soreide Law Group online here or at (888) 760-6552 to speak with a securities attorney. Soreide Law Group takes cases on a contingency basis, advances all costs upfront, and helps investors nationwide recover losses from sales practice violations, though outcomes cannot be guaranteed. Rohloff and the firms he has worked for deny accusations of sales practice violations.
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