According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Ronald Broadstone was accused of misusing or misappropriating customers assets, engaging in unauthorized trading and settling a customer complaint without notifying his firm, UBS. These are all against securities rules and regulations. For this, he was permanently barred from the industry. UBS has a duty to reasonably supervise its representatives while they are registered there. If it does not, it can be held liable for investment losses on a contingency fee basis. Please call our Chicago-based law firm at 312-332-4200 for a no-cost, no-obligation review by an attorney today. We sue firms in the FINRA arbitration forum.
According to his online records with FINRA, Mr. Broadstone was registered with The Ohio Company in Cincinnati, Ohio from June 1982 until June 1996, McDonald Investments in Columbus, Ohio from April 1996 until February 2007 and UBS in New Albany, Ohio from February 2007 until April 2017. He has two customer disputes against him and is currently not registered within the industry.
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