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FINRA Broker Allegations for Ernest Julius Romer

Our Staff has compiled our research into a database of FINRA Broker Allegations for Ernest Julius Romer.

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Displaying 10 out of 15 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted Allegations
Ernest Julius Romer23117415007/16/2018Customer DisputeSettled$220,000.00$0.00See Allegations
Ernest Julius Romer23117415004/16/2018Customer DisputeSettled$590,708.00$0.00See Allegations
Ernest Julius Romer23117415004/12/2018Customer DisputeSettled$167,500.00$0.00See Allegations
Ernest Julius Romer23117415003/01/2018Customer DisputeSettled$222,000.00$0.00See Allegations
Ernest Julius Romer23117415002/26/2018Customer DisputeSettled$45,000.00$0.00See Allegations
Ernest Julius Romer23117415012/19/2017Customer DisputeSettled$535,000.00$0.00See Allegations
Ernest Julius Romer23117415011/20/2017Customer DisputeSettled$250,000.00$0.00See Allegations
Ernest Julius Romer23117415010/23/2017Customer DisputeSettled$250,000.00$0.00See Allegations
Ernest Julius Romer23117415009/14/2017Customer DisputeSettled$115,000.00$0.00See Allegations
Ernest Julius Romer23117415009/01/2017Customer DisputeSettled$80,000.00$0.00See Allegations

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