Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Ernest Romer III. If you suffered losses investing with Ernest Romer III, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Ernest Romer III (CRD# 2311741)
As of September 19, 2017, Ernest Romer III’s FINRA BrokerCheck Report contains the following:
FINRA has barred this individual from acting as a broker or otherwise associating with firms that sell securities to the public.
Disclosure Events
8 Customer Dispute(s)
5 Regulatory Event(s)
0 Investigation(s)
4 Employment Separation After Allegations
0 Criminal Disclosure(s)
2 Financial Disclosure(s)
0 Civil Disclosure(s)
3 Judgment(s)/Lien(s)
Current and Previous Registrations
10/22/2012 – 01/27/2017 CORECAP INVESTMENTS, INC. (CRD#:37068) STERLING HEIGHTS, MI
07/20/2012 – 10/19/2012 L.M. KOHN & COMPANY (CRD#:27913) STERLING HEIGHTS, MI
12/07/2005 – 07/23/2012 LEONARD & COMPANY (CRD#:36527) STERLING HEIGHTS, MI
02/03/1999 – 12/20/2005 COMERICA SECURITIES (CRD#:17079) WARREN, MI
12/05/1995 – 11/16/1998 FIRST OF AMERICA BROKERAGE SERVICE, INC. (CRD#:16989) CLEVELAND, OH
04/23/1998 – 11/13/1998 NATCITY INVESTMENTS, INC. (CRD#:17490) CLEVELAND, OH
01/13/1994 – 12/06/1995 INDEPENDENCE ONE BROKERAGE SERVICES, INC. (CRD#:17529) FARMINGTON HILLS, MI
11/29/1993 – 12/18/1993 SIGMA FINANCIAL CORPORATION (CRD#:14303) ANN ARBOR, MI
04/07/1993 – 11/01/1993 PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC. (CRD#:13741) EL PASO, TX
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Ernest Romer III and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.