Gaylord Wesley Rohloff, a stockbroker based in Westlake Village, California, and associated with Western International Securities Inc., is the subject of customer dispute, based upon allegations of that he made unsuitable investment recommendations, was negligence, and enaged in unauthorized trading.
Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Rohloff has been involved in eight customer initiated investment related disputes, some of which have been settled while others remain pending. A pending customer initiated investment related complaint, filed on July 31, 2024, alleged that an investment was unsuitable, with damages requested at $350,000.
A pending customer initiated investment related FINRA securities arbitration claim, filed on April 26, 2024 (FINRA Arbitration No. 24-00890), alleged unsuitable investment recommendations and misrepresentation of material fact by the stockbroker, with requested damages of $5,000.
Rohloff was also the subject of a customer initiated investment related complaint on May 23, 2024, where the customer alleged unsuitable recommendations, requesting $9,000 in damages; the settlement amount was $4,500. Another settled customer initiated investment related FINRA securities arbitration claim from March 3, 2023 (FINRA Arbitration No. 23-00506) alleged unsuitable recommendations and negligence concerning a real estate investment trust (REIT), with a final settlement amount of $25,000.
Additionally, a customer initiated investment related FINRA securities arbitration claim from September 28, 2022 (FINRA Arbitration No. 22-01888) involved allegations of negligence regarding corporate debt investments, with a final settlement amount of $78,500, of which Rohloff personally contributed $26,870.
Rohloff has been registered with Western International Securities Inc. since May 27, 2008.
