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Articles Tagged with Ernest Romer

Ernest Julius Romer III (CRD #2311741) is a former registered broker and investment broker, last employed with CoreCap Investments, Inc. (CRD #37068) of Sterling Heights, MI. Previous employers include L.M. Kohn & Company (CRD #27913) and Leonard & Company (CRD #36527), both of Sterling Heights, and Comerica Securities (CRD #17079) of Warren, MI.  No current employment information is available. He has been in the industry since 1993, and has a total of 36 disclosures in his FINRA record

Romer is currently the subject of two investigations by the state of Michigan into allegations from two clients that he “stole” money from them. The first was filed on 8/28/2017, the second on 9/1/2017. Both are accompanied by correlating FINRA arbitration cases.

The State of Michigan has also barred Romer from working as a broker in the state of Michigan and permanently revoked his license, and levied fines of $1.5 million against him.

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