In the Matter of Roger Allan Roemmich

Roger Allan Roemmich allegedly refused to produce information and documents requested by FINRA during its review of a customer arbitration. 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, Roger Allan Roemmich stated he would no longer provide documents or information to FINRA.

Summary generated from official Financial Industry Regulatory Authority press release