ROGER ALLAN ROEMMICH

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/18/2026: In January 2026, after providing an initial response, Roemmich stated he would no longer provide documents or information to FINRA in response to a written request made pursuant to FINRA Rule 8210. As a result, Roemmich violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member firm in all capacities.
Reference 2025086670901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1293322

Other names1

Also known as1

Roger Roemmich

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