Ernesto Chavez (CRD: 4315877) faces a new pending claim on BrokerCheck over an investment made in 2018. The customer alleges $180,000 in damages, and no arbitrator has ruled on the claim.
Soreide Law Group obtained the following from FINRA’s website under, “Discipline and Other FINRA Actions June 2017.”
Ronald Dale Broadstone (CRD #1043159, Columbus, Ohio)
was barred from association with any FINRA member in all capacities for allegedly refusing to respond to FINRA’s questions during on-the-record testimony in connection with its investigation into whether he had misused or misappropriated client assets, engaged in unauthorized trading, or settled a client complaint without notifying his member firm.
(FINRA Case #2017052707101)
According to FINRA’s BrokerCheck, Ronald Dale Broadstone, has been in the securities industry for 34 years and was listed with 3 firms. He has 4 disclosures on his report, 2 of which are Customer Disputes.
Broadstone was discharged from UBS after an internal review found that he: (1) acted not in the interests of the trust and beneficiaries in his capacity as trustee of a family trust; (2) violated firm policies concerning order entry and client complaint escalation; and (3) gave inconsistent responses during the review.
His latest firm was:
02/09/2007 - 04/17/2017 UBS FINANCIAL SERVICES INC - NEW ALBANY, OH
If you suffered losses due to the actions or recommendations of Ronald Dale Broadstone, formerly of UBS, New Albany, Ohio, call and speak to a securities lawyer regarding the possible recover of your investment losses at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA and we operate on a contingency fee basis. Let our experience work for you.
Ernesto Chavez (CRD: 4315877) faces a new pending claim on BrokerCheck over an investment made in 2018. The customer alleges $180,000 in damages, and no arbitrator has ruled on the claim.
William Tunink (CRD: 2738224) settled a customer claim for $299,000 on August 11, 2026, according to his BrokerCheck report. The customer alleged that he obtained loans from the customer, and that some of the money went into an investment.
Tony Barouti (CRD: 3031995) faces a pending $230,400 customer claim, according to his BrokerCheck report. He says the allegations in it are false. His report also lists SEC administrative and cease-and-desist proceedings from August 2025.
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