Roger Allan Roemmich, a former Alexander Capital broker, is the subject of multiple disclosure events reported on his FINRA BrokerCheck profile.

According to FINRA BrokerCheck, Roemmich is not currently registered as a broker. His BrokerCheck report lists 1 regulatory event, 6 customer dispute disclosures, 2 termination disclosures, and 1 judgment/lien disclosure. The report also lists 5 pending customer disputes and 1 final or settled customer dispute. (FINRA BrokerCheck: https://brokercheck.finra.org/individual/summary/1293322)

Roemmich was previously registered with Alexander Capital, L.P. from October 2020 to May 2025 in Red Bank, New Jersey. He was also previously registered with Dempsey Lord Smith, LLC, Coastal Equities, Inc., Triad Advisors, Inc., H&R Block Financial Advisors, Inc., Investacorp, Inc., Jason Mackenzie Securities Corporation, Ashford Capital Corporation, FSC Securities Corporation, and Phoenix Financial Corporation. (FINRA BrokerCheck PDF: https://files.brokercheck.finra.org/individual/individual_1293322.pdf)

FINRA Regulatory Disclosure

FINRA BrokerCheck reports a final regulatory event initiated by FINRA on March 18, 2026. According to the disclosure, Roemmich consented, without admitting or denying the findings, to sanctions and findings that he refused to produce information and documents requested by FINRA during its review of a customer arbitration filed against his member firm by former customers alleging, among other things, unsuitable recommendations.

FINRA reported that the documents and information requested were material to its investigation. The disclosure states that Roemmich made a partial production but did not substantially respond to FINRA’s requests, and later stated that he would no longer provide documents or information to FINRA.

The regulatory matter was resolved through an Acceptance, Waiver & Consent on March 18, 2026. FINRA ordered a permanent bar. (FINRA BrokerCheck PDF: https://files.brokercheck.finra.org/individual/individual_1293322.pdf)

Pending Customer Disputes Reported by FINRA

FINRA BrokerCheck reports a pending customer dispute received in March 2026 involving Alexander Capital, L.P. The allegations include breach of fiduciary duty, aiding and abetting, negligent misrepresentation, failure to supervise, and violation of Georgia statutes. The product type is listed as Oil & Gas, with private placements and alternative investments also identified. Alleged damages are listed as $1,735,000. The matter is reported as a FINRA arbitration, docket number 26-00567. (FINRA BrokerCheck PDF: https://files.brokercheck.finra.org/individual/individual_1293322.pdf)

BrokerCheck also reports a pending customer dispute involving Dempsey Lord Smith and Alexander Capital. The allegations include breach of fiduciary duty, aiding and abetting, negligence, failure to supervise, and violations of Georgia state laws. The product type is listed as Real Estate Security, with private offerings also identified. The alleged damages amount is listed as $0, with the explanation that claimants request an amount to be determined at trial. The matter is reported as FINRA arbitration docket number 25-01247. (FINRA BrokerCheck PDF: https://files.brokercheck.finra.org/individual/individual_1293322.pdf)

Another pending disclosure involves allegations that a customer made a $1 million investment in connection with 828 Media Capital, LLC. The allegations include aiding and abetting securities fraud, securities fraud, negligent misrepresentations, unjust enrichment, and breach of fiduciary duty. The product type is listed as Direct Investment-DPP & LP Interests. Alleged damages are listed as $1,000,000. (FINRA BrokerCheck PDF: https://files.brokercheck.finra.org/individual/individual_1293322.pdf)

BrokerCheck also reports a pending civil litigation disclosure involving allegations that a customer made three direct investments in a media company totaling $7.5 million. The allegations include aiding and abetting securities fraud, fraud, negligent misrepresentations, unjust enrichment, and breach of fiduciary duty. The product type is listed as Direct Investment-DPP & LP Interests. Alleged damages are listed as $7,500,000. (FINRA BrokerCheck PDF: https://files.brokercheck.finra.org/individual/individual_1293322.pdf)

An additional pending disclosure involves allegations of suitability and false and/or materially misleading statements relating to an alternative investment and private placement. Alleged damages are listed as $1,200,000. (FINRA BrokerCheck PDF: https://files.brokercheck.finra.org/individual/individual_1293322.pdf)

BrokerCheck also reports a pending customer dispute involving Dempsey Lord Smith, LLC with allegations of failure to conduct reasonable due diligence and unsuitable recommendation of a high-risk investment. The product type is listed as Direct Investment-DPP & LP Interests. Alleged damages are listed as $100,001. (FINRA BrokerCheck PDF: https://files.brokercheck.finra.org/individual/individual_1293322.pdf)

Settled Customer Dispute Reported by FINRA

FINRA BrokerCheck reports one settled customer dispute involving Triad Advisors, Inc. The allegations involved suitability and misrepresentation relating to a TIC investment. The product type is listed as Real Estate Security. Alleged damages were listed as $436,052.12, and the matter was reported as settled for $227,500. (FINRA BrokerCheck PDF: https://files.brokercheck.finra.org/individual/individual_1293322.pdf)

Important Note for Investors

The allegations reported in FINRA BrokerCheck are allegations only. Pending customer disputes have not been proven, and settled matters may be resolved without any admission or finding of wrongdoing.

However, investors who suffered losses in private placements, oil and gas investments, real estate securities, DPPs, LP interests, or other alternative investments recommended through Alexander Capital, Dempsey Lord Smith, Triad Advisors, or a related financial professional may wish to review their account records and speak with an investment loss recovery attorney.

Sonn Law Group represents investors in claims involving unsuitable investments, private placement losses, alternative investment losses, broker misconduct, investment adviser misconduct, and failure-to-supervise claims.

Investors who suffered losses in alternative investments or private placements may contact Sonn Law Group to discuss potential recovery options.