Securities Lawyers Blog
Previously financial advisor H Roggen (Roggen), previously employed by brokerage firm Raymond James Financial Services, INC. has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.
FINRA BrokerCheck shows a pending customer complaint on May 14, 2025.
Client alleges FA recommended 2 unsuitable private placement investments and improperly enticed him to make those investments. Allegation Activity dates: March 25, 2021 – March 24, 2025.