Last Updated: February 2024 (Atlanta, GA)
Roger Roemmich Investigation Summary
Here’s what you need to know about Atlanta,GA, stockbroker Roger Roemmich:
- Name: Mr. Roger Allan Roemmich
- Current Employer: Alexander Capital LP, Alexander Capital Wealth Management (RIA)
- Previous Firms: Dempsey Lord Smith LLC, Retirement Cash Flow Group (RIA)
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: Roger Roemmich
- Primary Location: Atlanta, GA
- CRD 1293322
- Can Roger Roemmich be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Discloses Outstanding Tax Lien: Yes
- Terminated by Prior Employer: Yes
- Highest Settlement or Award: $227,500
- Pending Customer Dispute Seeks Damages of $100,001
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Roger Roemmich As Your Stockbroker?
In 12/2023 a customer of Dempsey Lord Smith filed a FINRA arbitration alleging that Roger Roemmich failed to conduct reasonable due diligence and made an unsuitable recommendation to invest in a high risk direct investment. Damages of $100,001, which includes punitive damages, are sought in this currently pending matter.
In 2015 a customer of prior employer Triad Advisors was paid $227,000 to resolve allegations that Roemmich made an unsuitable recommendation to invest in a real estate security.
H&R Block permitted Roemmich to resign in 2006 after they determined he was receiving income/fees from outside business activity.
In 2019 Roemmich disclosed an currently outstanding tax lien in favor of the Internal Revenue Service in the amount of $107,932, filed in Fulton County Superior Court, Georgia.
Allegations of Broker Misconduct Against Roger Roemmich
Customers of Roger Roemmich have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation
- Failure to Conduct Reasonable Due Diligence
- Misrepresentation
Alternative Investments: These are assets that are not stocks, bonds or cash. Alternative investments generally fall within five categories: hedge funds, private capital, natural resources (oil and gas, energy), real estate (REITs) and infrastructure. They are typically less liquid that conventional investments, less regulated with higher fees and generally higher risk.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
» Investigations of other Alexander Capital brokers
If you have suffered investment losses in an account handled by Roger Roemmich, 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.
