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Gaylord Rohloff Subject of Dispute Alleging Negligence

Dec 9, 2022 Negligence

Gaylord Rohloff (CRD #: 1542216), a broker registered with Western International Securities, allegedly acted negligently, according to his BrokerCheck record, accessed on November 30, 2022. Keep reading if you want to know more about his conduct as a broker.

Investor Dispute

On September 28, 2022, an investor alleged Gaylord Rohloff engaged in negligence. This dispute is pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

What qualifies as broker negligence?

Many types of broker misconduct can qualify as negligence, including unsuitable investment recommendations, misrepresentations or omissions of fact, and unauthorized trading. Investors who have lost money through broker negligence may be able to recover their losses by seeking out FINRA arbitration.

Background Information

Gaylord Rohloff has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Gaylord Rohloff is a registered broker in eight states and a registered investment adviser in California, Georgia, and Pennsylvania.

He has also worked for the following firms:

  • Financial West Group (CRD#:16668)
  • MML Investors Services (CRD#:10409)
  • Pruco Securities (CRD#:5685)
  • The Prudential Insurance Company of America (CRD#:680)

Kurta Law Can Help

If you worked with Gaylord Rohloff and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.