CHARLES W. KROMER JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. CHARLES W. KROMER, JR. General Securities Representative CRD NO. 1068867; RESPONDENTS. Disciplinary Proceeding No. 2005002244102 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: Summary 1. From March 2005 to July 2005, Charles W. Kromer Jr., ("Kromer") made 113 unsuitable switches of variable annuities ("VAs") for 74 small retail customers. Kromer began making these switches
07/19/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. CHARLES W. KROMER, JR. General Securities Representative CRD No. 1068867; BRIAN S. BREWER Registered Securities Principal CRD No. 2973586 Respondents. DISCIPLINARY PROCEEDING No. 2005002244102 HEARING OFFICER: MAD DATED: JULY 19, 2011 ORDER ACCEPTING OFFER OF SETTLEMENT FOR RESPONDENT CHARLES W. KROMER, JR. INTRODUCTION Disciplinary Proceeding No. 2005002244102 was filed on January 20, 2010, by the
Reference 2005002244102data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1068867 |
Other names1
Also known as1
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.