Roger Allan Roemmich of Alpharetta, Georgia, a stockbroker registered with Dempsey Lord Smith LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $73,300.00 in damages based upon allegations that Roemmich failed to conduct reasonable due diligence on direct investments and made unsuitable investment recommendations during the period that Roemmich was associated with Dempsey Lord Smith LLC. FINRA Arbitration No. 23-03083 (October 19, 2023).
This is not the first time that there has been an issue concerning Roemmich’s conduct in the securities industry. FINRA Public Disclosure shows that Roemmich was also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $227,500.00 in damages based upon allegations that Roemmich made misrepresentations of material fact and made the unsuitable investment recommendation of real estate securities when Roemmich was associated with Triad Advisors Inc. FINRA Arbitration No. 13-02144 (January 2, 2015).
Roemmich was associated with Retirement Cash Flow Group LLC in Alpharetta, Georgia, from April 2, 2019, to March 2, 2023, and Dempsey Lord Smith LLC in Alpharetta, Georgia, from September 18, 2017, to October 1, 2020.
Roemmich has been associated with Alexander Capital, L.P. in Atlanta, Georgia, since October 2, 2020, and Alexander Capital Wealth Management LLC in Atlanta, Georgia, since November 6, 2020.
