Roger Louis Sherman-Rivera (CRD#2220071) and ALIGHT FINANCIAL SOLUTIONS, LLC

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against Roger Louis Sherman-Rivera (CRD#2220071) regarding allegations made regarding the following:

Claim(s) Made Against Roger Louis Sherman-Rivera:

Claim Date: 2/28/2020

“Client alleges unsuitability, over-concentration, fraud, breach of fiduciary duty, violations of the securities laws and regulations, breach of contract, negligence, negligent misrepresentation and omission and failure to supervise (Puerto Rico bonds). Includes request for rescission, disgorgement of commission/fees, interest, costs, fees, and punitive damages.”

This claim, as of this posting, is currently Settled with a claim amount of $4,000,000.00 .

The investor was paid $160,000.00 by the brokers’ firm.

See more information on FINRA’s BrokerCheck site for Roger Louis Sherman-Rivera.

Did you have a negative experience with Roger Louis Sherman-Rivera?

If you had a negative experience or issue with Roger Louis Sherman-Rivera and ALIGHT FINANCIAL SOLUTIONS, LLC from CHARLOTTE, NC, the Securities Lawyers at Halling & Cayo, S.C. may be able to help you. Brokerage firms have a duty to supervise all registered representatives, such as Roger Louis Sherman-Rivera, and ensure that they follow all securities rules and regulations and internal policies. If a brokerage firm fails to do so, it may be held liable for investment losses sustained by customers.

We are currently considering bringing claims on behalf of individual investors or groups of investors who have lost funds. Many customers have signed FINRA arbitration agreements that outline the process for resolving disputes, including claims for investment loss recovery. As the SEC advises, it is important to find an attorney who has experience handling securities complaints. If you were a customer of Roger Louis Sherman-Rivera and ALIGHT FINANCIAL SOLUTIONS, LLC and experienced investment losses, please get in touch with the Securities Lawyers. We only receive payment if we can recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to contact an attorney as soon as possible.

Contact The Securities Lawyers


Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at to see if he can help recover your funds.