Roger Allan Roemmich

(CRD #1293322, Roswell, Georgia)

March 18, 2026 – An AWC was issued in which Roger Allan Roemmich was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Roemmich consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA during its review of a customer arbitration filed against his member firm by former customers of his, alleging, among other things, that he made unsuitable recommendations. The findings stated that the documents and information sought were material to FINRA's investigation. Roemmich made a partial production but did not substantially respond to FINRA's requests. After providing the initial response, Roemmich stated he would no longer provide documents or information to FINRA. (FINRA Case #2025086670901) If you have suffered losses as a result of Roger Allan Roemmich's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Roger Allan Roemmich. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-330-6707 or email Matthew Schwartz directly at mschwartz@tslfirm.com.