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Complaints Against Todd Roggen of Raymond James
Did you suffer investment losses with Todd Roggen, a former financial advisor with Raymond James in Houston, Texas? If so, you may be able to recover some of your financial losses. Our investment fraud law firm is looking into allegations of misconduct and mismanagement involving H. Todd Roggen.
FINRA’s BrokerCheck discloses that Todd Roggen has been the subject of eight customer complaints, one of which was made in 2025. The 2025 complaint alleges that Roggen recommended two private placement investments between 2021 and 2025. There are also allegations that the investments were unsuitable for the client and led to financial losses of at least $5,000. At least one of the investments was related to real estate.
Todd Roggen’s History in the Securities Industry
Todd Roggen was licensed with Raymond James between 2010 and November 2024, working out of the firm’s Houston, Texas branch. Since then, Roggen has been affiliated and is a “managing director” with a company called OneSeven, which is a registered investment advisory (RIA) firm.
In addition to the 2025 complaint, Roggen has been the subject of seven other customer complaints. The customers in those seven cases either settled or were awarded a combined $680,000.
Did Raymond James Properly Supervise Todd Roggen?
Brokerage firms like Raymond James must supervise the actions of their registered representatives, especially if the advisor has several past customer complaints. Only a small percentage of licensed financial advisors have as many complaints as Todd Roggen. When a financial advisor allegedly engages in misconduct—such as mismanaging accounts or making unsuitable investment recommendations—the brokerage firm that employs them may also be held liable for failing to adequately supervise their conduct.
In the securities industry, this is known as “failure to supervise,” and it plays a crucial role in many investor recovery cases. FINRA Rule 3110 requires brokerage firms to establish and maintain a system to monitor the activities of their financial advisors. Firms are required to consider certain factors when supervising a financial advisor, including the types of investments that the advisor is selling, as well as the complaint history of the broker.
At Israels & Neuman, we frequently represent clients in failure to supervise cases involving firms that allowed inappropriate conduct to continue unchecked.
How Israels & Neuman Can Help You Recover Money
Our firm has recovered millions of dollars for wronged investors across the country. We have brought claims against a wide range of brokerage firms.
We offer free case evaluations, and if we take your case, we do so on a contingency fee basis—which means there are no attorney fees unless we recover money for you.