DID ROGER LOUIS SHERMAN-RIVERA CAUSE YOU INVESTMENT LOSSES?

Roger Sherman-Rivera Of Alight Financial Solutions, LLC And Formerly With MML Investors Services, LLC and AXA Advisors, LLC Has A Customer Complaint For Alleged Broker Misconduct

Who is Roger Sherman-Rivera of Alight Financial Solutions, LLC?

Roger Sherman-Rivera (CRD #2220071) who is currently registered as a broker with Alight Financial Solutions, LLC and located in Charlotte, North Carolina, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Alight Financial Solutions, LLC, Roger Sherman-Rivera was associated with MML Investors Services, LLC, AXA Advisors, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Roger Sherman-Rivera Customer Complaint

Roger Sherman-Rivera has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for unsuitable investment recommendations, overconcentration of client’s portfolio in Puerto Rico denominated securities, fraud, breach of fiduciary duty, and violations of securities laws and regulations. Santander Securities settled the customer complaint in favor of the investor.

Roger Sherman-Rivera Red Flags & Your Rights As An Investor

Of course, Roger Sherman-Rivera did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Roger Sherman-Rivera at Alight Financial Solutions, LLC, MML Investors Services, LLC and AXA Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Roger Sherman-Rivera has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Alight Financial Solutions, LLC, MML Investors Services, LLC and AXA Advisors, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Alight Financial Solutions, LLC Due To Roger Sherman-Rivera

If you have questions about Alight Financial Solutions, LLC, MML Investors Services, LLC, AXA Advisors, LLC and/or Roger Sherman-Rivera and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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