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24-01880(2).pdf
Amended
2025086670901 Roger Roemmich CRD 1293322 AWC ks.pdf
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.
24-02162(2).pdf
Order for Confirm
Regulatory Notice 26-08
The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s assessment is based on its portion of the total par value of municipal securities transactions reported by all FINRA member firms to the MSRB during the previous quarter.