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FINRA Broker Allegations

Allegations against: Ernest Julius Romer

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Claaimants alleges that romer solicited funds from them to invest in a firm owned by him p&r capital. They further allege that no such investment was ever made and that romer converted the funds to his own use. plaintiffs also allege that there were improper sales practices the sale of an annuity to them. Rep's conduct is the subject of the complaint and rep is named in the complaint.

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