The allegations read: Without admitting or denying the findings, romer consented to the sanctions and to the entry of findings that he failed to disclose on his initial form u4 the existence of a federal tax levy and state tax liens filed against him. The findings stated that although romer was aware of an irs tax levy and state of michigan liens filed against him, he never amended his form u4 while registered with a member firm, nor did be disclose them on his forms u4 that he submitted to two other member firms.
