Erez Law is currently investigating former Raymond James Financial Services, Inc. broker H Roggen (CRD# 721463) regarding unsuitable investment recommendations. He has been registered with Raymond James Financial Services, Inc. in Houston, Texas, from 2010 to 2024.
H Roggen Customer Complaints
He has been the subject of eight customer complaints between 1987 and 2025, one of which was denied, according to his CRD report. The most recent complaint was regarding:
May 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.” The case is currently pending. The complaint was regarding real estate securities losses.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Raymond James Financial Services, Inc. may be liable for investment or other losses suffered by H Roggen’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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