Haselkorn & Thibaut, a nationally recognized investment fraud law firm, has announced an investigation into former Atlanta-based financial advisor Roger Allan Roemmich, with a particular focus on his tenure at Alexander Capital LP and Dempsey Lord Smith LLC. If you are a current or former client of Mr. Roemmich, you may have important legal rights and remedies available. Below, you’ll find key details and a valuable guide to understanding your next steps.
Who is Roger Allan Roemmich?
Table of Contents
| Name | Roger Allan Roemmich |
| Location | Atlanta, Georgia |
| Current Registration | Not currently registered with any FINRA firm |
| Former Broker-Dealers | Alexander Capital LP, Dempsey Lord Smith LLC |
| Former RIAs | Alexander Capital Wealth Management, Retirement Cash Flow Group |
Summary of Background and Experience
Roger Allan Roemmich has worked in the financial services industry for several years, previously associated with Alexander Capital LP and Dempsey Lord Smith LLC as a broker-dealer registered representative. He was also connected to Alexander Capital Wealth Management and Retirement Cash Flow Group in a registered investment adviser (RIA) capacity.
As of the latest update, Roger Roemmich is not registered with any FINRA member firm and is not acting in a FINRA-registered role. This status is important to investors as it impacts both the types of services an advisor may legally provide and the regulatory oversight to which they are subject.
Complaints, Lawsuits, and Investigations
When choosing or evaluating a financial advisor, reviewing their regulatory history and any reported customer complaints or investigations is critical. According to information available via FINRA BrokerCheck and public databases:
- No current regulatory actions or customer complaints are disclosed against Roger Allan Roemmich in the public FINRA records as of this publication date.
- However, Haselkorn & Thibaut is actively investigating claims and concerns related to Mr. Roemmich’s activities while registered at Alexander Capital LP and Dempsey Lord Smith LLC, as well as possible issues involving investment recommendations, misrepresentation, suitability, or supervision by these broker-dealers.
- Investors formerly or currently associated with Mr. Roemmich should carefully review their accounts and statements for any irregularities, unexpected losses, or investment recommendations that did not align with their goals or risk tolerance.
Why Are Investors Concerned?
The fact that Mr. Roemmich is no longer registered with any FINRA firm may in itself raise questions. Changes in employment or registration sometimes accompany client complaints, terminations, or regulatory inquiries—although not always. Investors should be particularly attentive if they experienced:
- Unexplained or unauthorized transactions.
- Frequent trading not aligned with investment objectives (“churning”).
- Steep or unexpected losses in their accounts.
- Lack of communication or answers regarding investment performance.
- Investment products that were not properly explained or disclosed.
- Difficulties obtaining account records or transferring accounts away from the advisor or firm.
If any of these situations apply, immediate action is advised. Legal deadlines (statutes of limitation) may apply to potential claims.
How Haselkorn & Thibaut Can Help
Haselkorn & Thibaut brings over 50 years of combined securities law experience and a 98% success rate, having recovered millions for clients nationwide. Their team handles cases involving:
- Unsuitable investment recommendations
- Broker negligence or professional misconduct
- Breach of fiduciary duty by financial advisors
- Failure of supervision by broker-dealers or RIAs
- Securities fraud and elder financial exploitation
There is never a fee unless there is a recovery for you (“No Recovery, No Fee”).
Free Confidential Case Review – Protect Your Investments
If you have questions about your account history with Roger Roemmich, investments at Alexander Capital LP, Dempsey Lord Smith LLC, or the related RIAs, you do not have to navigate your concerns alone.
- Call Haselkorn & Thibaut’s experienced investment fraud lawyers at 1-888-885-7162 for a free, confidential consultation.
- Time limits may apply, so acting promptly protects your legal rights.
- All conversations are confidential and aimed at giving you clear, caring, and practical guidance.
Every investor deserves fair and honest treatment from financial professionals. If you suspect your trust was misplaced, Haselkorn & Thibaut is here to help you understand potential claims and pursue possible recovery of your losses.
What You Can Do Next
- Review your account statements closely for unauthorized or suspicious activity.
- Document any communications with your advisor or their firms.
- Contact Haselkorn & Thibaut at 1-888-885-7162 to discuss your situation at no cost or obligation.
- Be aware of key deadlines for filing claims.
Haselkorn & Thibaut’s only priority is helping investors reclaim their confidence and financial security. Don’t hesitate to reach out if you have questions—or if you simply need help understanding your rights as an investor.
For additional public registration details, you may also reference FINRA BrokerCheck.
