Broker Roger Roemmich Barred Following Complaint, Investigation

Roger Allan Roemmich (CRD# 1293322) is a former registered broker and investment advisor, last employed by Alexander Capital, L.P. (CRD# 40077) of Red Bank, NJ. His previous employers include Dempsey Lord Smith, LLC (CRD# 141238) of Alpharetta, GA, Coastal Equities, Inc. (CRD# 23769) and Triad Advisors, Inc. (CRD# 25803), both of Roswell, GA. He has been in the industry since 1984.

Roemmich voluntarily resigned from Alexander Capital on 5/12/2025 following a written customer complaint alleging unsuitable recommendations. The customer also followed with a civil lawsuit alleging fraud, securities fraud, and breach of fiduciary duties.

Following a review of an arbitration submitted by one of Roemmich’s customers, FINRA contacted Roemmich to request documents and information related to the arbitration claim. FINRA sent a request to Roemmich on November 11, 2025, and a second request on November 28, 2025, when he failed to respond.

Although he offered some information on January 13, 2026, it was insufficient to meet FINRA’s request. Then on January 19, 2025, Roemmich’s legal counsel sent an email to FINRA staff. The email acknowledged Roemmich’s receipt of the requests, but he would not produce the remaining documents and information requested. This refusal violates FINRA Rules 8210 and 2010. FINRA then issued a letter of Acceptance, Waiver & Consent (AWC) that included a permanent bar from association with any FINRA member in any capacity. Roemmich signed the letter on March 10, 2026, and the bar went into effect on March 18, 2026.

Roemmich is also the subject of several customer dispute disclosures. The most recent dispute was filed on 3/18/2026 with allegations of “Breach of Fiduciary Duty; Aiding and Abetting; Negligent Misrepresentation; Failure to Supervise; Violation of Georgia Statutes. Date of activities: 2022 – 2023.” The client requests $1,735,000 in damages, and the claim is listed as “pending.”

The next dispute was filed on 7/14/2025, with allegations of “Breach of Fiduciary Duty; Aiding and Abetting; Negligence (Failure to Supervise). Violations of Georgia State Laws. Beginning in early 2020 through 2024.” No damages are listed, and the claim is also listed as “pending.”

Another dispute, filed on 5/1/2025, includes allegations of “Aiding and Abetting Securities Fraud, Fraud, Unjust Enrichment, Breach of Fiduciary Duty. July 2020 – September 2021.” This pending claim requests damages of $7,500,000.

A similar dispute was filed by a client on 1/6/2025, with allegations of “suitability, and false and/or materially misleading statements.” This pending claim requests damages of $1,200,000 and includes a rebuttal from Roemmich denying any wrongdoing and that he had apprised these accredited investors of the risks in advance.

The earliest pending claim was filed on 2/15/2024 alleging “suitability.” The customer requests damages of $73,300.00.

Did You Invest With Roger Allan Roemmich?

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