FINRA Bars Former Ohio Broker Ronald Broadstone from Securities Industry
According to the Financial Industry Regulatory Authority, Ronald Broadstone has been permanently barred from the securities industry. FINRA alleges Ronald Broadstone allegedly misused or misappropriated customer assets, engaged in unauthorized trading, and settled a customer complaint without notifying UBS.
During FINRA’s investigation of the case, Broadstone refused to answer questions in violation of Finra Rule 8210. He has been barred from association with any FINRA member in any capacity.
According to Ronald Broadstone’s FINRA Broker Report, he was registered with UBS Financial Services in New Albany, OH from February 2007 through April 2017, when he was discharged. He has two customer disputes listed on his Broker Report. Allegations include mismanagement, unsuitable recommendations and unauthorized trades.
For FINRA’s full findings see FINRA Case # 2017052707101.
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