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SEC Charges CoreCap Stockbroker Convicted Of Stealing Customer Funds

January 17, 2020 | Posted by : Guiliano Law Group | Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft | 0 Comments

Ernest Julius Romer III of Sterling Heights Michigan a stockbroker formerly employed by CoreCap Investments Inc. is the subject of an enforcement action initiated by Securities and Exchange Commission (SEC) where the regulator is seeking sanctions against Romer based upon accusations that the stockbroker has been convicted of embezzlement. Regulatory Action No. 3-19006 (Feb. 22, […]

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SEC Charges CoreCap Stockbroker Convicted Of Stealing Customer Funds

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