National investment loss lawyers KlaymanToskes is investigating broker Gaylord Rohloff (CRD #1542216) of Western International Securities.
According to FINRA BrokerCheck, broker Gaylord Rohloff of Western International Securities is currently facing several customer disputes alleging he recommended unsuitable investments, including a real estate investment and a corporate bond investment. The customers are seeking $355,000 in collective alleged damages.
Investors that suffered losses with broker Gaylord Rohloff are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Gaylord Rohloff, a broker with Western International Securities in Westlake Village, California, is currently facing several disputes with investors. According to his BrokerCheck report, Rohloff is facing two pending customer complaints which allege unsuitable investment recommendations and collective damages of $355,000. Additionally, Rohloff has a disclosure history of four settled customer disputes between 2002 and 2024. These complaints involved allegations of unsuitable investment advice and negligence. The settlements in these cases reportedly totaled over $160,000. The investments related to the complaints allegedly included real estate investment trusts and corporate bonds.
Rohloff previously resigned from Financial West Group following allegations that an external audit of his supervising branch office uncovered a written customer complaint that was never forwarded to the firm’s compliance department. The complaint reportedly alleged that Rohloff engaged in unauthorized trading, causing the investor subsequent tax consequences. It was reportedly found that Rohloff used discretion without obtaining approval from the client. The complaint was allegedly resolved with the customer, however, further inquiry found that Rohloff used discretion with several other accounts and traded securities without customer authorization.
Contact the investment fraud lawyers at KlaymanToskes today at (888) 997-9956. We’ll listen to your story and provide you a free, no obligation account review. We are here to work with investors to help recover their investments.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker Gaylord Rohloff. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encourage to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Gaylord Rohloff, or have concerns regarding your investment portfolio at Western International Securities, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.