RONALD DALE BROADSTONE CRD#: 1043159, a former broker with UBS Financial of New Albany, Ohio, has been barred by FINRA from acting as a broker or otherwise associating with firms that sell securities to the public.
According to the Financial Industry Regulatory Authority Inc (FINRA) report, allegedly Broadstone refused to respond to FINRA's questions during his on-the-record testimony that was requested by FINRA in connection with FINRA’s investigation into whether, while associated with UBS Financial, Broadstone had misused or misappropriated client assets, engaged in unauthorized trading, or settled a client complaint without notifying UBS Financial of New Albany, Ohio.
Finra said that on April 18, 2017, in on-the-record testimony in connection with Finra's investigation of the case, Mr. Broadstone's attorney advised FINRA staff that his client would not answer additional questions, in violation of Finra Rule 8210.
According to FINRA’s BrokerCheck, Ronald Broadstone has been in the securities industry for 34 years, has 4 disclosures on his report and has been listed with 3 firms, the two most recent listed below:
02/09/2007 - 04/17/2017 UBS FINANCIAL SERVICES INC - NEW ALBANY, OH
04/26/1996 - 02/09/2007 MCDONALD INVESTMENTS INC - COLUMBUS, OH
If you were a client of former UBS Financial of New Albany, Ohio, Ronald Broadstone, and experienced investment losses due to his actions or recommendations, call Soreide Law Group for a free consultation regarding your possible recovery of your losses at: 888-760-6552.
Soreide Law Group will represent you nationwide before FINRA and we operate on a contingency fee basis. Let our experience work for you.
