Investigation: GWG L Bond Sales Made by Gaylord Rohloff
We are investigating Gaylord Rohloff (CRD #1542216) for sales practice violations related to the marketing of GWG L Bonds. Mr. Rohloff is currently registered with Western International Securities in Westlake Village, California. The information contained in this article is based on disclosures contained on her public securities license as well as other information. The public […]
SEC Charges Western International Securities over GWG L Bond Sales
On June 16, 2022, the Securities and Exchange Commission charged Western International Securities with violating securities regulations by marketing GWG L Bonds to its mostly elderly customers. According to the complaint, Western International’s brokers were unaware of basic features and risks of GWG L Bonds. The case was filed in United States District Court for […]
Efrain Trujillo Fired Over Customer Loan
Efrain Trujillo (CRD# 3106482) was recently fired by his forner member firm over alleged rule violations. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, last accessed on December 20, 2021, Mr. Trujillo was most recently registered with Western International Securities in Los Angeles, California. Western International Securities Terminated Efrain Trujillo In October 2021 […]
Western International Rep Peter Steege Involved in Multiple Customer Disputes
Peter Steege (CRD #: 1060713), a broker and an investment adviser registered with Western International Securities, has disclosures on his license, according to his BrokerCheck record, accessed on November 10, 2021. Mr. Steege has a long record of disclosures, dating all the way back to 1989, when he was fired from Smith Barney, Harris Upham […]
Dave Bibo Involved in Seven Figure Investor Dispute
Dave Bibo (CRD #: 2602436), a broker registered with Western International Securities, Inc., has two new customer complaints alleging misrepresentation, according to his BrokerCheck record, accessed on November 10, 2021. Mr. Bibo has several other disclosures as well. Investor: Dave Bibo Made Misrepresentations On September 22, 2020, a client alleged that David Bibo misrepresented […]
FINRA: Complaint Involving Thomas Swan Settles for $110,000
Thomas Swan (CRD #: 1698430), a California broker registered with Western International Securities, was recently involved in a $110,000 settlement according to his BrokerCheck record, accessed on November 2, 2021. This is Mr. Swan’s third BrokerCheck disclosure. On August 31, 2020, a client alleged that Thomas Swan was negligent and misrepresented certain securities. The client […]