Gaylord Rohloff Allegedly Recommended Unsuitable Bonds

Gaylord Rohloff (CRD# 1542216[1]), a broker registered with Western International Securities, recommended unsuitable investments, according to recent investor disputes. MDF Law is currently investigating the Westlake Village, California-based financial professional for similar conduct. Call us for a free consultation if you have concerns about trading in your accounts.

To learn more about the allegations involving Mr. Rohloff, continue reading this post. The information herein is sourced from his BrokerCheck profile, a Financial Industry Regulatory Authority record accessed on September 10, 2024. 

Pending Dispute Seeks 6-Figure Damages

Multiple parties of investors filed disputes involving Mr. Rohloff in 2024. One of these claims details allegations that he recommended an unsuitable real estate investment, seeking $350,000 in damages. Another alleges that he made misrepresentations regarding an unsuitable corporate bond investment, seeking an unspecified damages amount. Both of these disputes are still pending.

Firms Settled Past Disputes Involving Rohloff

The above-described pending disputes are not the only allegations of misconduct in Mr. Rohloff’s past. His BrokerCheck record also describes four investor disputes that resolved with settlements. Lodged between 2002 and 2024, the disputes alleged unsuitable investment recommendations and negligence. They pertained to investments in a real estate investment trust, corporate bonds, and other products. His current or former member firms settled the claims for more than $160,000.

Why Did Gaylord Rohloff Resign from Financial West Group?

In 2008 Gaylord Rohloff was “permitted to resign” from his position at Financial West Group, according to a disclosure on his BrokerCheck profile. As the disclosure explains, his resignation followed an internal audit that found he failed to disclose a complaint alleging he made unauthorized trades. “It was found that Rohloff used discretion without obtaining approval from the client,” as the disclosure notes. It adds that a subsequent inquiry found that he “used discretion with several other accounts” and made unauthorized trades. Ultimately, the disclosure explains, he “resigned prior to Financial West Group completing its investigation.”

FINRA: Western International Securities Broker Based in Westlake Village, California

Gaylor Rohloff began his career as a broker when he registered with the Prudential Insurance Company of America in 1986. He went on to work with a variety of firms, including MML Investors Services and Financial West Group. He joined his current member firm, Western International Securities, in 2008, and has remained with its Westlake Village, California office since. With 37 years of experience as a broker, he has completed four industry exams, including the Series 6 and the Series 63. 

MDF Law Offers Free Consultations

If you have suffered losses on investments you made working with Gaylor Rohloff, you may have recovery options. The veteran investment fraud attorneys at MDF Law have a demonstrated record of success recovering lost funds for the victims of broker misconduct. Our team is well-prepared to help clients navigate the complexities of FINRA arbitration proceedings. We have secured more than $100 million in recoveries, accept cases on a contingency basis, and offer free consultations to investors nationwide. You may have a limited window to file a claim, so don’t delay: call 800-767-8040 today.