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 | 08/08/2017 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Ernest Julius Romer | 2311741 | 50 | 07/27/2017 | Customer Dispute | Award / Judgment | $50,000.00 | $50,000.00 | See Allegations |
| Ernest Julius Romer | 2311741 | 50 | 07/18/2017 | Customer Dispute | Settled | $46,000.00 | $0.00 | See Allegations |
| Ernest Julius Romer | 2311741 | 50 | 05/31/2017 | Customer Dispute | Settled | $203,000.00 | $0.00 | See Allegations |
| Ernest Julius Romer | 2311741 | 50 | 04/13/2017 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Ernest Julius Romer | 2311741 | 50 | 01/20/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| Ernest Julius Romer | 2311741 | 50 | 12/31/2015 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Ernest Julius Romer | 2311741 | 50 | 01/15/2013 | Regulatory | Final | $0.00 | $0.00 | See Allegations |
| Ernest Julius Romer | 2311741 | 50 | 12/01/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See Allegations | |
| Ernest Julius Romer | 2311741 | 50 | 10/26/2005 | Customer Dispute | Settled | $228,495.00 | $0.00 | See Allegations |