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.

ALPHARETTA, GEORGIA Are you a former client of financial advisor Matthew Chimento in Alpharetta, Georgia? Israels & Neuman is reviewing allegations against this broker, who previously worked with Morgan Stanley (Prudential). He was barred from the securities industry by FINRA, according to FINRA’s Disciplinary Database.

In November 2023, Matthew Chimento voluntarily resigned from Morgan Stanley while he was under an internal investigation. According to BrokerCheck, he allegedly transferred funds out of a client’s account and placed it into an account for his own benefit, without the client’s authorization, (breach of fiduciary duty), which led to the FINRA investigation. After failing to respond to FINRA’s investigation, he was barred.

Matthew Chimento was registered with Morgan Stanley from March 2023 to November 2023 and worked in Alpharetta, Georgia. He also previously worked for E*Trade for five years.

Israels & Neuman has represented thousands of investors in the past, including numerous investors in Georgia. We have represented investors against numerous brokerage firms, including against Morgan Stanley.

View FINRA AWC HERE View BrokerCheck Report HERE

If you lost money with Matthew Chimento, or Morgan Stanley, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.