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Investors Allege Glenn Romer Gave Unsuitable Investment Recommendations

Glenn Romer (CRD #: 4841915), a broker registered with Center Street Securities, allegedly recommended unsuitable investments, according to his BrokerCheck record, accessed on June 2, 2023. Keep reading if you want to know more about his conduct as a broker.

Investor Disputes

Three pending disputes, filed in June 2022 and April 2023, allege that Glenn Romer recommended unsuitable investments. These disputes seek a collective $850,000 in damages.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to take investors’ profiles into account when making investment recommendations. These profiles describe an investor’s age, tax status, and financial goals.

Investors who rely on brokers for investment recommendations can potentially recover their losses by pursuing FINRA arbitration.

Background Information

Glenn Romer has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 65 – Uniform Investment Adviser Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 22 – Direct Participation Programs Representative Examination
  • Series 62 – Corporate Securities Limited Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

Glenn Romer is a registered broker in six states.

He previously for Lincoln Financial Securities (CRD#:3870).

Kurta Law Can Help

If you worked with Glenn Romer and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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