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Roger Roemmich of Alexander Capital, Barred from Securities Industry
Did you invest with financial advisor Roger Roemmich of Alexander Capital, in Alpharetta, Georgia? Israels & Neuman is looking into claims against this advisor, who was recently barred from the securities industry after he failed to respond to an investigation by FINRA.
Allegations Regarding Roger Roemmich
In May 2025, Roemmich was allowed to voluntarily resign by Alexander Capital. He allegedly was “was the subject of a written customer complaint alleging that he had made unsuitable recommendations and the subject of a customer initiated civil suit alleging, among other things, that he had committed fraud, securities fraud, and had breached his fiduciary duties.”
FINRA then started its own investigation into Roemmich. He did not cooperate with FINRA’s investigation, and as such, he was barred under FINRA Rule 8210. Roemmich has now faced three customer complaints alleging misrepresentations about private placements.
Background on Roger Roemmich
Roger Roemmich was licensed with Alexander Capital from October 2020 to May 2025. He was also with Dempsey Lord Smith from October 2016 to October 2020 and worked in Alpharetta, Georgia.
Is Alexander Capital Potentially Liable for Customer Losses?
FINRA standards provide that brokerage firms like Alexander Capital must reasonably supervise the activities of their financial advisors. Firms that fail to do so could be responsible for investor losses.
We Help Investors in Georgia
We represent investors throughout the United States as well as Georgia, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud. If you were a client of Roger Roemmich and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.