Roger Roemmich Facing Client Disputes Concerning Misrepresentation

Investors apparently complained about securities broker Roger Allan Roemmich [CRD: 1293322, Atlanta, Georgia], according to disclosures on FINRA BrokerCheck. Roemmich has worked for Alexander Capital, L.P. since October 2, 2020, and with Alexander Capital Wealth Management LLC since November 6, 2020. Previously, he worked for Retirement Cash Flow Group LLC from April 2, 2019, to March 2, 2023, and Dempsey Lord Smith LLC from September 18, 2017, to October 1, 2020. Read on to learn more about the securities broker’s disclosures.

Retirement Cash Flow Group Investor Accused Roemmich of Misrepresentation

Particularly, on January 16, 2025, a Retirement Cash Flow Group LLC and Alexander Capital, L.P. client filed a complaint about Roger Roemmich. The client alleged that Roemmich made unsuitable recommendations and false or misleading statements. Because of this, the client allegedly sustained damages on alternative investments and private placements. Therefore, the client requested $1,200,000 in compensation from Retirement Cash Flow Group LLC and Alexander Capital, L.P. The complaint is pending litigation.

Alexander Capital, L.P. Investor Accused Roger Roemmich of Unsuitable Recommendations and Unreasonable Due Diligence

Also, on December 10, 2023, an Alexander Capital, L.P. client filed FINRA Arbitration No. 23-03083 about Roger Roemmich. Specifically, the client alleged that Roemmich failed to conduct reasonable due diligence and made unsuitable recommendations of high-risk investments. Because of this, the client allegedly sustained damages on direct investments. Therefore, the client requested $100,001 in compensation from Alexander Capital, L.P. or Roemmich. Evidently, this arbitration is pending a resolution.

Roemmich Disclosed Misrepresentation Allegations by Triad Advisors Inc. Client

Notably, a client of Triad Advisors Inc. contested Roger Roemmich’s sales practices by filing FINRA Arbitration No. 13-02144. Allegedly, Roemmich made misrepresentations and unsuitable recommendations relating to a tenant-in-common (TIC) investment. It appears that Roemmich caused the client to sustain damages on these types of real estate securities. Therefore, Triad Advisors Inc. opted to settle the matter on January 2, 2015, by compensating the client in the amount of $227,500, with Roemmich contributing $10,000.

Were You Impacted By Securities Broker Roger Roemmich?

Are you looking for more information about Roger Roemmich? If you incurred losses, get in touch with Soreide Law Group online or at (888) 760-6552 and speak with a securities attorney concerning a possible recovery. Soreide Law Group has recovered losses for investors throughout the country, works on a contingency fee basis, and advances all costs. Roemmich and brokerage firms Roemmich worked for deny accusations of sales practice violations.