Investors apparently complained about securities broker Roger Allan Roemmich [CRD: 1293322, Red Bank, New Jersey], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roemmich worked for Coastal Equities Inc. from July 2, 2014, to October 6, 2016, Dempsey Lord Smith LLC from October 13, 2016, to October 1, 2020, and Alexander Capital LP from October 2, 2020, to May 30, 2025. Investors should continue reading to discover more about these disclosures.
Particularly, on June 16, 2025, an Alexander Capital LP client filed FINRA Arbitration No. 25-01247 concerning Roger Roemmich. Mainly, the client alleged that Roemmich breached his fiduciary duty, was negligent due to failure to supervise, aided and abetted misconduct, and violated Georgia state securities laws. Because of this, the client allegedly experienced damages involving private offerings and real estate securities. As a result, the client requested $1,000,000 in compensation from Alexander Capital LP or Roemmich. It appears that this arbitration is pending a resolution.
Notably, Alexander Capital LP disaffiliated with Roemmich on May 12, 2025. Allegedly, Roemmich was involved in a client complaint alleging that he made unsuitable recommendations. He was also the subject of a civil suit alleging breach of fiduciary duty.
Also, a client of Dempsey Lord Smith LLC and Alexander Capital LP disputed Roemmich’s sales practices, according to Civil Action No. 25CV004054 dated May 1, 2025. Allegedly, Roemmich made misrepresentations, was negligent, breached his fiduciary duty, and was unjustly enriched. It appears that Roemmich allegedly caused the client to experience damages associated with direct investments. Consequently, the client sought compensation from Dempsey Lord Smith LLC, Alexander Capital LP, or Roemmich in the amount of $7,500,000 in this matter. The civil action is pending in the Superior Court of Fulton County, Georgia.
Evidently, on January 16, 2025, a Retirement Cash Flow Group LLC and Alexander Capital LP client filed a complaint about Roger Roemmich. Primarily, the client alleged that Roemmich made unsuitable recommendations and made misrepresentations. For this reason, the client allegedly incurred damages connected to private placements and alternative investments. Therefore, the client requested $1,200,000 in compensation from Retirement Cash Flow Group LLC, Alexander Capital LP, or Roemmich. It appears that this arbitration is pending a resolution.
Particularly, on October 19, 2023, a Dempsey Lord Smith LLC client filed FINRA Arbitration No. 23-03083 about Roger Roemmich. Mainly, the client alleged that Roemmich made unsuitable recommendations and failed to perform due diligence. Because of this, the client allegedly sustained damages linked to direct investments. As a result, the client requested $100,001 in compensation from Dempsey Lord Smith LLC or Roemmich. It appears that this arbitration is pending a resolution.
Did you suffer any investment-related losses because of Roger Roemmich? If so, reach out to Soreide Law Group at (888) 760-6552 or online and talk to a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Roemmich and brokerage firms Roemmich worked for deny allegations of sales practice violations.
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