Last Updated: June 2025 – Houston, TX
Here’s what you need to know about Houston, TX, stockbroker Todd Roggen:
- Name: H. Todd Roggen
- CRD Number: 721463
- Current Employer: OneSeven (RIA), MGO OneSeven
- DBA: HTR Wealth Management
- Prior Employers: Raymond James Financial Services, Inc.; UBS Financial Services Inc.; First Union Securities, Inc.; Prudential Securities; Cowen & Co.
- Function: Stockbroker / Registered Investment Advisor
- Alias: Todd Roggen, T Todd Roggen
- Primary Location: Houston, TX
- Can H. Todd Roggen be sued in FINRA arbitration? Yes
- Sanctioned by FINRA? No
- Highest Reported Settlement or Award: $251,978
- Pending Customer Dispute Seeks Damages of Unspecified Amount
If you’ve sustained damages from Mr. Roggen, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With H. Todd Roggen As Your Stockbroker?
A pending customer complaint filed in May 2025, alleges that Mr. Roggen, while registered with Raymond James Financial Services, recommended two unsuitable private placement investments between 2021 and 2025, and improperly enticed the client into making those investments. No specific dollar is currently specified.
Private Placements under Reg D: What is a Private Placement? According to the U.S. Securities and Exchange Commission (SEC):
“Under the federal securities laws, a company may not offer or sell securities unless the offering has been registered with the SEC or an exemption from registration is available. Offerings exempt from the SEC’s registration requirements pursuant to Securities Act Section 4(a)(2) or its safe harbor under Regulation D of the Securities Act are often referred to as private placements.”
The SEC warns that unregistered offerings may be utilized to conduct investment scams and that investors should have the ability to weather a total loss in these illiquid investments. See this SEC Investor Alert about red flags to watch out for in unregistered offerings.
Mr. Roggen has a history of prior customer disputes:
- In 1990, Mr. Roggen and others were ordered to pay $251,978 in a FINRA arbitration award stemming from misrepresentation, unsuitability, and failure to disclose while at Cowen & Co.
- In 2010, a claim regarding Lehman Brothers preferred stock sold in 2008 resulted in a $90,000 settlement (Case #09-05906).
- Another Lehman-related complaint settled for $40,000 (Case #09-05907).
- A third Lehman-related case settled for $195,000 (Case #08-03887).
- Additional cases include a $100,000 ARS settlement and a $5,000 settlement involving government debt.
Allegations of Broker Misconduct Against H. Todd Roggen
Clients of Mr. Roggen have raised several serious allegations, including:
- Misrepresentations and omissions
- Unsuitable investment recommendations
- Failure to disclose investment risks
- Improper sales practices
Recover Your Investment Losses Now With Rex Securities Law
Other Investigations of Raymond James Advisors
If you have suffered investment losses in an account handled by H. Todd Roggen, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.