Goodman & Nekvasil, P.A. May Recover Investor Losses | Ernest Romer – Financial Advisor Ernest Romer Discharged from Firm
Ernest Romer CRD #2311741
From 2012 until Ernest Romer’s firing in 2017, Ernest Romer was licensed with Corecap Investments, Inc. Ernest Romer was formerly licensed with three previous firms. According to FINRA’s records, Ernest Romer was fired by Corecap Investments, Inc. on January 20, 2017. Corecap Investments, Inc. reported to FINRA that Ernest Romer was fired for failing to report outside business activity and for violations of Corecap Investments, Inc. policies relating to transactions with clients. According to Corecap Investments Inc.’s statement, Ernest Romer obtained loans from three clients for the stated purpose of starting a business; Ernest Romer was instructed to return the funds and not to engage in the business. To Corecap Investment Inc.’s knowledge, no funds have been returned by Ernest Romer as of the date of this filing.
Following Ernest Romer’s discharge by Corecap Investments, Inc. FINRA investigated Ernest Romer and brought a disciplinary action against Ernest Romer. Ernest Romer was permanently barred from the securities and investment banking industry in July 2017. According to FINRA, Ernest Romer was barred for failing to request the termination of Ernest Romer’s suspension within three months of the date of the Notice of Suspension; therefore, Ernest Romer was automatically barred from any association with any FINRA member in all capacities. Ernest Romer had been suspended on three separate occasions by FINRA.
FINRA reports that three arbitration claims involving Ernest Romer’s conduct with Corecap Investments, Inc. have been filed and are pending. The claimants allege that Ernest Romer solicited funds from them to invest in a firm owned by Ernest Romer, P&R Capital, and/or that Ernest Romer solicited money from them to invest in “Corecap Solutions” but converted the money to his own use. One of these pending arbitration claims seeks damages of $110,000.
FINRA also reports that two previous arbitration claims involving Ernest Romer’s conduct were both settled for $102,208.53 and $130,110.71.
If you lost any money on investments with Ernest Romer while Ernest Romer was employed with Corecap Investments, Inc. you may be able to recover your losses from Corecap Investments, Inc. This is because Corecap Investments, Inc. had a duty to supervise Ernest Romer.
If you lost money on investments with Ernest Romer and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Corecap Investments, Inc. concerning Ernest Romer’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $170 million on behalf of victimized investors. If you lost money on investments with Ernest Romer and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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