National investment loss lawyers KlaymanToskes is investigating barred broker Roger Roemmich (CRD# 1293322) previously affiliated with Alexander Capital LP, Dempsey Lord Smith, Retirement Cashflow Group, and Roger’s Retirement Readiness Alliance.
According to FINRA BrokerCheck, Roger Roemmich is currently facing several customer complaints alleging over $9,000,000 in collective investor damages. The complaints relate to unsuitable recommendations to invest in high-risk investments, including alternative investments and private placements. In March 2026, the Financial Industry Regulatory Authority (FINRA) barred Roger Roemmich from the securities industry after he failed to provide requested documents and cooperate with the regulator’s investigation.
Investors that suffered losses with broker Roger Roemmich are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Broker Roger Roemmich Barred by FINRA: Over $9M in Customer Complaints
According to recent reporting by InvestmentNews, in March 2026, the Financial Industry Regulatory Authority (FINRA) barred Roemmich from the securities industry after he failed to provide documents and cooperate with a FINRA investigation. Roemmich allegedly agreed to the sanction without admitting or denying the findings.
Roemmich is connected to at least four investor complaints seeking approximately $9.8 million in collective damages across the firms where he was previously registered. These claims primarily involve Dempsey Lord Smith and Alexander Capital, and relate to allegations that he recommended unsuitable high-risk investments, including private placements, real estate securities, and limited partnerships. The largest claim seeks $7.5 million in damages and was filed in May 2025 in Georgia state court. Additional claims allege that Roemmich breached his fiduciary duties, failed to conduct reasonable due diligence, and made materially misleading statements to investors.
Roger Roemmich worked at Dempsey Lord Smith from 2016 to 2020 before moving to Alexander Capital, where he remained until his resignation in May 2025. His departure occurred while he was the subject of a customer complaint alleging unsuitable investment recommendations and a civil lawsuit alleging fraud, securities fraud, and breach of fiduciary duty.
Roemmich was previously affiliated with Retirement Cashflow Group from 2019 to 2023, with Dempsey Lord Smith from 2017 to 2020, and with Roger’s Retirement Readiness Alliance from 2016 to 2018 in Alpharetta, GA. The broker’s comments listed on one of the disclosures states: “I deny any wrongdoing. I apprised these accredited investors of the risks of their investments, which they knowingly assumed in writing. Investment losses in private placements do not equate to sales practice violations.”
Investment Losses with Broker Roger Roemmich?
Contact KlaymanToskesSigns Investors Should Look Out For About Their Brokerage Accounts
As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
- You have substantial losses in your investment accounts
- You received a call, email, or other communication from your broker’s supervisor or manager regarding your portfolio
- Your broker misrepresented investment opportunities, or failed to disclose details about investments
- You notice unauthorized transactions in your investment accounts
- Your broker is not returning your calls or emails
- You filed a complaint with your brokerage firm that has not been resolved
- You see a mistake on your statement, or receive a fraudulent statement
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Roger Roemmich or have concerns regarding your investment portfolio at Alexander Capital LP, Roger’s Retirement Readiness Alliance, Retirement Cashflow Group, Dempsey Lord Smith, or with any other financial advisor or firm, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.
