The allegations read: Ernest romer was named in a customer complaint that asserted the following causes of action: breach of contract, fraud in the performance of contract, failure to supervise, control person liability, respondeat superior, and conversion. The causes of action related to claimant's allegation that respondent romer advised claimant to take a distribution from his ira account and transfer the funds to an entity which, unbeknownst to claimant, was owned by respondent romer. Claimant asserted that respondent romer misappropriated the transferred funds.
