Our Staff has compiled our research into a database of FINRA Broker Allegations for Ernest Julius Romer.
Search by Allegation Text:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | Allegations |
|---|---|---|---|---|---|---|---|---|
| Ernest Julius Romer | 2311741 | 50 | 06/19/2019 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Ernest Julius Romer | 2311741 | 50 | 04/29/2019 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Ernest Julius Romer | 2311741 | 50 | 02/22/2019 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Ernest Julius Romer | 2311741 | 50 | 09/18/2018 | Civil | Final | $0.00 | $0.00 | See Allegations |
| Ernest Julius Romer | 2311741 | 50 | 07/16/2018 | Customer Dispute | Settled | $220,000.00 | $0.00 | See Allegations |
| Ernest Julius Romer | 2311741 | 50 | 04/16/2018 | Customer Dispute | Settled | $590,708.00 | $0.00 | See Allegations |
| Ernest Julius Romer | 2311741 | 50 | 04/12/2018 | Customer Dispute | Settled | $167,500.00 | $0.00 | See Allegations |
| Ernest Julius Romer | 2311741 | 50 | 03/01/2018 | Customer Dispute | Settled | $222,000.00 | $0.00 | See Allegations |
| Ernest Julius Romer | 2311741 | 50 | 02/26/2018 | Customer Dispute | Settled | $45,000.00 | $0.00 | See Allegations |
| Ernest Julius Romer | 2311741 | 50 | 01/17/2018 | Customer Dispute | Award / Judgment | $1,161,330.00 | $0.00 | See Allegations |