ERNEST J. ROMER

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No.: 2011025852103 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ernest J. Romer Registered Representative CRD No. 2311741 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ernest Romer submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that
Reference 2011025852103data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/31/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044603501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ernest Romer, Respondent Registered Representative CRD Number: 2311741 Pursuant to Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver, and Consent
Reference 2015044603501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2311741

Other names2

Also known as2

ERNEST JULIUS ROMER, IIIERNEST ROMER

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