Haselkorn & Thibaut has opened an investigation into Roger Roemmich (CRD #1293322), a registered representative formerly with Alexander Capital, L.P. If you have concerns regarding your investment accounts or have experienced losses, you’re not alone—uncovering the realities surrounding a financial advisor’s disclosure record is vital for investor protection and recovery. This comprehensive report provides investors with essential insights into Roger Roemmich’s regulatory background, customer disputes, and key red flags, while outlining proactive steps for those impacted.
Who is Roger Roemmich?
Table of Contents
Roger Roemmich is a financial advisor, previously registered as a broker and investment adviser, most recently with Alexander Capital, L.P. According to public records, as of June 2024, he was listed as an active representative with valid Series 7 and 63 licenses. His experience and licensing suggest a career working with retail and institutional clients, specializing in investment products such as private placements, traditional securities, and real estate-based investments.
Recent Regulatory and Customer Complaint History
It’s crucial for investors to perform diligent background checks using trusted public resources such as FINRA BrokerCheck. Reviewing the most recent records and supplemental reporting, our research highlights the following concerning developments associated with Roger Roemmich and Alexander Capital, L.P.:
| Disclosure Type | Date/Status | Key Allegations or Findings | Reported Damages (if any) |
|---|---|---|---|
| Customer Complaint (Pending) | July 2025 | Breach of fiduciary duty, negligence, aiding and abetting misconduct (2020-2024) | N/A |
| Customer Complaint (Pending) | May 2025 | Securities fraud, aiding and abetting fraud, unjust enrichment, breach of fiduciary duty | $7,500,000 |
| Customer Complaint (Pending) | January 2025 | Unsuitable investment recommendations, misleading/false statements | $1,200,000 |
| Customer Complaint (Pending) | February 2024 | Suitability concerns | $73,300 |
| Settlement | August 2013 | Unsuitability, misrepresentation (tenant-in-common investment) | $227,500 (settled) |
FINRA Bar and Regulatory Investigation
In January 2026, FINRA permanently barred Roger Roemmich from the securities industry. The primary basis for the bar was his refusal to cooperate with the self-regulatory authority’s requests for documents and records during a formal investigation. Although the action was for non-cooperation, this inquiry reportedly stemmed from several pending customer complaints and accusations of serious misconduct, including:
- Securities fraud
- Breach of fiduciary duty
- Unsuitable investment recommendations
- Misleading statements to investors
Red Flags and Risks: Private Placements & High-Risk Investments
Many allegations directed at Roemmich involve private placements and other complex, illiquid products such as tenant-in-common (TIC) offerings. These investment vehicles are generally considered higher risk due to:
- Lack of liquidity—difficult to sell or unwind
- Limited transparency—less information available than with public securities
- Higher fees and commissions—potentially eroding investment returns
- Increased risk of investor loss—especially for those with lower risk tolerances
While brokers sometimes point to investors’ accreditation as evidence of risk awareness or suitability, regulatory duties remain: advisors must ensure investment recommendations align with their clients’ needs, objectives, and financial situations.
Understanding Investor Complaints Against Roger Roemmich
The pattern of disclosures indicates investors have accused Roemmich of:
- Unsuitable investment recommendations
- Securities fraud and misrepresentation
- Breach of fiduciary duty
- Aiding and abetting misconduct by others
Claims pending in FINRA arbitration reflect alleged investor losses ranging from tens of thousands of dollars to multimillion-dollar claims. Both retail and accredited investors have reportedly cited losses from complex products not aligned with their investment profiles or goals.
What Should Investors Do Next?
If you suspect that you suffered losses related to recommendations from Roger Roemmich or similar practices at Alexander Capital, L.P., Haselkorn & Thibaut is currently investigating these matters nationwide. As a leading national securities fraud law firm with over 50 years of experience, a 98% success rate, and millions recovered for clients, Haselkorn & Thibaut stands ready to help.
- No recovery, no fee—you pay nothing unless a recovery is made on your behalf.
- Free, confidential consultations—discuss your case with an experienced securities attorney.
- National reach—representation for investors across the country.
- Personal attention and experience—get answers, not automated responses.
Frequently Asked Questions About Roger Roemmich and Investor Claims
| Question | Answer |
|---|---|
| Why was Roger Roemmich barred by FINRA? | He was barred in January 2026 after refusing to provide documents and information requested during an investigation. The inquiry was reportedly tied to allegations including securities fraud, unsuitable recommendations, and breach of fiduciary duty. |
| Can investors still file claims if the broker is barred? | Yes. Even if a broker is barred or inactive, claims may be brought against the brokerage firm, which is responsible for supervising its representatives. |
| What types of claims have been filed? | Claims include unsuitable investment recommendations, fraud, breach of fiduciary duty, and misrepresentation—with current pending disputes noted in the millions of dollars. |
Take the Next Step – Contact Haselkorn & Thibaut
If you have concerns about your investments with Roger Roemmich or Alexander Capital, L.P.—or have questions about complex products, private placements, or unsuitability—contact Haselkorn & Thibaut today at 1-888-885-7162. Secure your free consultation and learn how you can potentially recover your losses through FINRA arbitration. Experience, sensitivity, and proven results—you deserve the right answers.
