{"id":11958,"date":"2026-06-16T11:49:23","date_gmt":"2026-06-16T15:49:23","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=11958"},"modified":"2026-06-16T11:49:23","modified_gmt":"2026-06-16T15:49:23","slug":"broker-roger-roemmich-barred-following-customer-complaint-and-finra-investigation","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-roger-roemmich-barred-following-customer-complaint-and-finra-investigation\/","title":{"rendered":"Broker Roger Roemmich Barred Following Customer Complaint and FINRA Investigation"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-11959 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2026\/06\/Blog-Graphics33.png\" alt=\"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.\u00a0 He has been in the industry since 1984.\n\nRoemmich 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.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2026\/06\/Blog-Graphics33.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2026\/06\/Blog-Graphics33-180x120.png 180w\" sizes=\"(max-width: 300px) 100vw, 300px\" \/>Roger Allan Roemmich (CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/1293322\" target=\"_blank\">1293322<\/a>) 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.\u00a0 He has been in the industry since 1984. <a href=\"https:\/\/www.silverlaw.com\/blog\/broker-roger-roemmich-barred-following-customer-complaint-and-finra-investigation\/#more-11958\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>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.\u00a0 He has [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[577,580],"tags":[],"class_list":["post-11958","post","type-post","status-publish","format-standard","hentry","category-finra-disciplinary-actions","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Broker Roger Roemmich Barred Following Complaint, Investigation<\/title>\n<meta name=\"description\" content=\"Roger Allan Roemmich is a former registered broker and investment advisor, last employed by Alexander Capital, L.P. of Red Bank, NJ.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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