Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gaylord Wesley Rohloff [CRD: 1542216, Westlake Village, California]. Evidently, Gaylord Rohloff registered with Western International Securities, Inc. since May 27, 2008. Recent disclosures reveal concerns about Rohloff’s conduct, including allegations of unsuitable investment recommendations and unauthorized trading.
On July 31, 2024, a client of Western International Securities, Inc. alleged that investment recommendations made by Rohloff were unsuitable. The client claimed damages totaling $350,000. This matter remains pending resolution.
On April 26, 2024, a client alleged that investment recommendations involving corporate debt were misrepresented. Damages exceeding $5,000 were claimed. This case, filed with FINRA (Arbitration No. 24-00890), is pending resolution.
On May 28, 2024, a client of Western International Securities alleged that an investment sold by Gaylord Rohloff involving real estate securities was unsuitable. The firm denied the complaint.
On May 23, 2024, a client alleged that an investment in real estate securities was unsuitable, seeking $9,000 in damages. Western International Securities resolved the complaint by paying the client $4,500.
On March 3, 2023, a client alleged that Rohloff engaged in unsuitable recommendations and negligence concerning real estate investment trusts (REITs). The claim resulted in a FINRA arbitration settlement of $25,000 (Arbitration No. 23-00506).
On September 28, 2022, a client accused Gaylord Rohloff of negligence related to corporate debt investments. The claim settled for $78,500. Rohloff personally contributed $26,870 to the settlement.
Looking for more information about Gaylord Rohloff? If so, reach out to Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney. The team at Soreide Law Group works on a contingency basis, advances costs as needed, and assists investors across the country with recovering losses from sales practice misconduct. Rohloff and the firms he worked for deny accusations of sales practice violations.
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