Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gaylord Rohloff (Rohloff), currently associated with Western International Securities, Inc., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Rohloff recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $350,000.00 on July 31, 2024.
Client claims investment was unsuitable.