Roger Roemmich Facing a Suitability Dispute

Roger Roemmich (CRD #: 1293322), a broker registered with Alexander Capital, L.P., is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on March 11, 2024. Keep reading if you have questions regarding his alleged conduct. 

Customer Dispute

On February 15, 2024, an investor alleged that Roger Roemmich recommended unsuitable investments. The investor is seeking $73,300. 

What is an Unsuitable Investment?

FINRA Rule 2111 requires brokers to evaluate whether an investment strategy fits their investor’s financial goals. Brokers must examine the investor’s profile, which contains the following investor characteristics:

• Age
• Risk tolerance
• Time horizon (i.e., how long the investor plans to hold the investment)
• Investing experience
• Tax status
• Financial goals

Investors who rely on brokers for recommendations may be able to recover losses from unsuitable investment recommendations by pursuing FINRA arbitration.

Tax Lien

On September 17, 2019, Roger Roemmich became the subject of a tax lien for $107,932.14. 

Background Information 

Roger Roemmich has passed the following exams:

• Series 66 Uniform Combined State Law Examination 
• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 31 Futures Managed Funds Examination 
• Series 7 General Securities Representative Examination

He is a registered broker in 18 states and is a registered investment adviser in Georgia. 

Roger Roemmich has 24 years of experience. During that time, he has registered with 13 firms. These are the five most recent: 

• Alexander Capital, L.P. (CRD #: 40077) 
• Alexander Capital Wealth Management (CRD #: 157714) 
• Retirement Cash Flow Group (CRD #: 285843) 
• Dempsey Lord Smith (CRD #: 141238) 
• Roger’s Retirement Readiness Alliance (CRD #: 285843) 

Kurta Law Can Help 

If you have worked with Roger Roemmich and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.