Advisor Alert: Our Attorneys Are Investigating Roger Allan Roemmich For Investment Fraud
Did You Lose Money Because of Roger Roemmich?
Filed: February 9, 2024
Roger Roemmich currently has one (1) pending customer complaint and one (1) pending judgment/lien event. Overall, he has been the subject of one (1) termination event, two (2) customer complaints, and one (1) judgment/lien event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Roger Allan Roemmich.
Who Is Roger Allan Roemmich of Alexander Capital, L.P. and Alexander Capital Wealth Management LLC?
- Advisor Name: Roger Allan Roemmich
- Aliases: Roger Roemmich
- CRD: 1293322
- Location: Atlanta, Georgia
- Current Employer: Alexander Capital, L.P. and Alexander Capital Wealth Management LLC
- Previous Firms: Retirement Cash Flow Group, LLC and Dempsey Lord Smith, LLC
- Number of Known Customer Complaints: 2
- Number of Known Judgment/Lien Events: 1
- Number of Known Termination Events: 1
- Can Roger Roemmich Be Sued: Yes, in Private Arbitration
- Can Roger Roemmich’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $436,052.12
- Highest Settlement: $227,500
If you have suffered investment losses by Roger Roemmich, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stock market losses lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Roger Roemmich For Broker Misconduct
As of this publication date, Roger Roemmich has been the subject of 1 termination event, 2 customer disputes, and 1 judgment/lien event. Let’s review them below.
In December 2023, a FINRA arbitration was filed against or in reference to Roger Roemmich by a customer of Dempsey Lord Smith, LLC alleging that Mr. Roemmich failed to conduct reasonable due diligence unsuitable recommendations of high-risk investment. Per the customer, he/she lost over $100,001 because of Mr. Roemmich’s actions. As of this publication date, this claim remains pending.
In September 2019, Roger Roemmich was the subject of a civil judgment or lien in the amount of $107,932.14. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.
In August 2013, a FINRA arbitration was filed against or in reference to Roger Roemmich by a customer of Triad Advisors, Inc. alleging suitability and misrepresentation relating to TIC investment. Per the customer, he/she lost over $436,052.12 because of Mr. Roemmich’s actions. On January 2, 2015, Mr. Roemmich settled the claim for $227,500, and some or all of this amount may have been paid by Mr. Roemmich’s employer and/or insurance carrier.
In April 2016, Roger Roemmich resigned from H&R Block Financial Advisors, Inc. after a review determining if he was receiving income/fees from outside business activity.
How To File A Claim Against Roger Roemmich of Alexander Capital, L.P. and Alexander Capital Wealth Management LLC (previously with Retirement Cash Flow Group, LLC and Dempsey Lord Smith, LLC) To Get Your Money Back
If you have questions about Roger Roemmich, Alexander Capital, L.P., Alexander Capital Wealth Management LLC, Retirement Cash Flow Group, LLC, Dempsey Lord Smith, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.