Since January 2025, Roger Roemmich has had 3 customer disputes added to his record, totaling over $16 million in damages requested. Below we outline Roemmich’s background, the allegations now pending against him, and what those claims could mean for your portfolio.
If you or someone you know has been impacted by Roger Roemmich or another broker, don’t hesitate to reach out to Meyer Wilson Werning today. Our attorneys are experienced in broker misconduct cases and will help to guide you through the process with a free consultation.


Who Is Roger Roemmich?
Roger Roemmich (CRD#: 1293322) entered the securities industry in 1984 and joined Alexander Capital in 2020. He also worked at several firms prior to this, including:
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Coastal Equities, Inc.
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Triad Advisors, Inc.
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H&R Block Financial Advisors, Inc.
This long résumé shows experience—but a series of customer disputes suggests that knowledge may not always have been applied in clients’ best interests.
We Have Recovered Over
$350 Million for Our Clients Nationwide.
Allegations and Customer Complaints
Since the beginning of 2025, three formal claims have named Roemmich; all three remain unresolved and two of them seek more than $7.5 million in damages each. The allegations focus on unsuitable advice and misleading statements tied to illiquid or high-fee alternatives.
Snapshot of the 2025 Roemmich Docket
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May 2025 – $7,500,000 demanded for alleged securities fraud, negligence, misrepresentation, and a breach of fiduciary duty through investments in a media company.
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May 2025 – An additional $7,500,000 demanded for alleged securities fraud, negligence, misrepresentation, and a breach of fiduciary duty through investments in a media company.
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January 2025 – $1,200,000 demanded for alleged suitability violations and false statements about alternative investments.
Even a single complaint can signal trouble; multiple claims over different market cycles often point to a pattern of misconduct.
Why Alexander Capital May Share Liability
Under FINRA rules, brokerage firms must supervise their advisors. If Alexander Capital failed to detect or stop Roemmich’s unsuitable recommendations, the firm can be held responsible for resulting losses. Key supervisory duties include:
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Monitoring account activity for red-flag patterns (excess risk, concentration, or liquidity issues).
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Reviewing written communications and sales material for accuracy.
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Investigating customer complaints promptly and taking corrective action.
When those safeguards break down, investors—not advisors—often suffer the consequences.
Our lawyers are nationwide leaders in investment fraud cases.
Your Rights and Next Steps
Investors harmed by unsuitable recommendations have powerful tools at their disposal, including arbitration or securities litigation. Successful claims generally involve:
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Clear documentation of what the advisor recommended and why it was inappropriate for the client’s goals.
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Evidence that risks were misstated, minimized, or never discussed.
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A link between the unsuitable product and the losses incurred.
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Meyer Wilson Werning Helps Investors Recover Losses
If you or someone you know has suffered losses due to the actions of brokers like Roger Roemmich, the experienced attorneys at Meyer Wilson Werning are here to help. With more than 20 years in the industry and over $350 million recovered for our clients, our focus on investment fraud and securities litigation has helped many investors recover their losses. Contact us today for a free consultation to discuss your case and learn how we can assist you in protecting your financial interests.


Frequently Asked Questions
What are unsuitable investment recommendations?
Unsuitable investment recommendations occur when a broker advises clients to invest in products that do not align with their financial goals, risk tolerance, or investment profile. This can lead to financial losses for investors. Examples include recommending high-risk investments to conservative investors or suggesting investments that do not match the client’s investment timeline.
How can I file a complaint against my broker?
To file a complaint against a broker, investors can contact FINRA or the relevant regulatory body. The process involves providing details of the misconduct and any supporting documentation to initiate the complaint process. Steps include gathering evidence, completing a complaint form, and submitting it to the appropriate regulatory agency. A securities fraud attorney can assist you in each step.
What legal actions can I take against a brokerage firm?
Investors can pursue legal actions against a brokerage firm for losses incurred due to unsuitable investment recommendations. This may include filing a complaint with regulatory bodies, seeking arbitration, or pursuing litigation for recovery. Each option has specific procedures and requirements that investors should follow.
What does FINRA require from brokerage firms?
FINRA requires brokerage firms to supervise their brokers’ activities carefully, ensuring compliance with regulatory standards and protecting investors from unsuitable recommendations and misconduct. This includes monitoring trades, reviewing client interactions, and maintaining proper documentation of investment advice.
Recovering Losses Caused by Investment Misconduct.