Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Riggenbach (Riggenbach), previously associated with Woodbury Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Riggenbach 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 $262,000.00 on September 23, 2020.
Customers allege the representative made recommendations that did not meet the client’s needs and allegedly caused losses.