Investors might have sustained losses due to securities broker Roger Allan Roemmich [CRD: 1293322, Red Bank, New Jersey], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roger Roemmich worked for Alexander Capital LP from October 2, 2020, to May 30, 2025, as a general securities representative. See below to learn more about Roemmich’s disclosures involving regulatory sanctions and client disputes.
Evidently, on March 18, 2026, FINRA issued Case: 2025086670901 sanctioning Roger Roemmich with a bar from associating with any FINRA member firm in all capacities. Notably, FINRA alleged that Roemmich failed to provide documents and information requested during an investigation, resulting in alleged violations of FINRA Rules 8210 and 2010. As part of the resolution, Roemmich submitted a Letter of Acceptance, Waiver, and Consent without admitting or denying FINRA’s findings
According to FINRA, the matter stemmed from a June 2025 client arbitration filed against Alexander Capital LP by former clients who alleged, among other things, that unsuitable recommendations had been made. FINRA subsequently opened an investigation and sent requests to Roemmich on November 11, 2025 and November 28, 2025 seeking documents and information according to FINRA Rule 8210.
FINRA Rule 8210 authorizes the regulator to require securities brokers to provide testimony, records, and information connected to investigations into possible securities industry misconduct. FINRA alleged that the requested materials were important to its investigation into client allegations involving unsuitable recommendations.
According to FINRA, Roemmich did not initially respond to the regulator’s requests and only partly cooperated on January 13, 2026. FINRA further alleged that Roemmich, through his lawyer, later indicated that he would not provide the remaining requested documents and information.
The regulator alleged that by failing to provide the requested materials, Roemmich violated FINRA Rule 8210. FINRA also alleged that this conduct violated FINRA Rule 2010, which requires securities professionals to hold high ethical standards.
Particularly, a client of Alexander Capital LP disputed Roger Roemmich’s sales practices by filing FINRA Arbitration No. 26-00567 on March 17, 2026. Allegedly, Roemmich breached his fiduciary duty, made negligent misrepresentations, failed to supervise certain representatives, and violated Georgia statutes. It appears that Roemmich allegedly caused the client to sustain damages on private placements, alternative investments, and oil and gas investments. Therefore, the client seeks compensation from Alexander Capital LP or Roemmich in the amount of $1,735,000 in this ongoing matter.
Additionally, on July 14, 2025, a Dempsey Lord Smith and Alexander Capital LP client filed FINRA Arbitration No. 25-01247 about Roger Roemmich. Primarily, the client alleged that Roemmich breached his fiduciary duty, negligently supervised certain representatives, and violated Georgia state laws. For this reason, the client allegedly suffered damages on private offerings and real estate securities. As a result, the client requested compensation from Dempsey Lord Smith, Alexander Capital LP, or Roemmich. BrokerCheck indicates that this arbitration is ongoing.
Are you concerned about investments you made through Roger Roemmich? Get in touch with Soreide Law Group at (888) 760-6552 or online and speak with a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of individuals throughout the United States. Also, our securities lawyers represent investors on a contingency fee basis and advance all costs. Roemmich and brokerage firms Roemmich worked for deny accusations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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