Gaylord Rohloff: $350K Complaint Against Western International Advisor

Multiple investor complaints against Westlake Village, California financial advisor Gaylord Rohloff (CRD# 1542216) allege that he recommended unsuitable investments. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Western International Securities.

Mr. Rohloff’s BrokerCheck report discloses multiple investor complaints. The most recent, filed in in July 2024, alleges that as a representative of Western International Securities, he recommended an unsuitable real estate investment. The pending investor complaint alleges damages of $350,000.

An earlier investor complaint, filed in April 2024, similarly alleges that as a Western International Securities representative, he misrepresented and recommended unsuitable corporate bond investments. The pending investor complaint alleges unspecified damages.

A third investor complaint, filed in May 2024, alleges that he recommended unsuitable real estate investments as a WIS representative. In August 2024 the complaint reached a settlement of $4,500.

A fourth investor complaint, filed in 2023, alleged that he acted negligently and recommended an unsuitable real estate investment trust, or REIT. The complaint reached a settlement of $25,000.

A fifth investor complaint, filed in 2022, alleged that he acted negligently in the recommendation of corporate bond investments while a representative of WIS. In 2023 the complaint reached a settlement of $78,500.

A sixth investor complaint, filed in 2002, alleged that as a representative of MassMutual, he did not execute a fund transfer. The complaint reached a settlement of $52,551.60.

According to the Financial Industry Regulatory Authority, Gaylord Rohloff holds 38 years of securities industry experience. Based in Westlake Village, California, he has been registered as a broker and an investment advisor with Western International Securities since 2008. His past registrations include Financial West Group, MML Investors Services, Pruco Securities, and the Prudential Insurance Company of America. He is licensed in Arizona, California, Florida, Georgia, Idaho, Illinois, Nevada, New York, Pennsylvania, and Texas. (Information current as of November 27, 2024.)

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