Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roger Roemmich (Roemmich), currently associated with Alexander Capital, L.p., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Roemmich recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,200,000.00 on January 16, 2025.
Allegations include suitability, and false and/or materially misleading statements.
