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.

• View Roemmich’s BrokerCheck Report
• View Roemmich’s FINRA AWC

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights. Israels & Neuman can help you recover the money you deserve.

Robert Guidicipietro was with Arive Capital Markets from December 2018 to January 2020. He has been with Alexander Capital from January 2020 to the present. He has worked at branch offices in Bay Ridge, New York. Guidicipietro has also been the subject of six customer complaints and has been under two prior regulatory investigations.

Brokerage firms like Arive Capital Markets have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view Guidicipietro, R. BrokerCheck Report

If you lost money with Robert Guidicipietro or Arive Capital Markets, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.