Tag Archives: Ernest Julius Romer III

Corecap Investments Stockbroker Barred By FINRA

Ernest Julius Romer III, of Sterling Heights, Michigan, a stockbroker formerly registered with Corecap Investments, has now been charged by the United States Securities & Exchange Commission with the theft of approximately $2.7 million from his customers.  In the Matter of ERNEST J. ROMER, III, ADMINISTRATIVE PROCEEDING File No. 3-19006 (Feb. 22, 2019) According to […]

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CoreCap Investments Stockbroker Discharged

Ernest Julius Romer III, of Sterling Heights, Michigan, a stockbroker registered with CoreCap Investments, Inc., has been terminated from employment on January 20, 2017, based upon allegations that he violated the firm’s policies relating to his undisclosed outside business activities and transactions in customer accounts. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on […]

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