RONALD G SMITH Barred by FINRA

RONALD G SMITH (RON G SMITH) was formerly registered with SPARTAN CAPITAL SECURITIES of New York, NY from 07/01/2013 - 12/26/2023, and most recently with SANFORD C BERSTEIN & CO of Stamford, Connecticut from 01/11/2024 – 11/10/2025, was permanently barred by FINRA with the starting date of 11/10/2025.

According to the FINRA report, without admitting or denying FINRA’s findings, RONALD G SMITH consented to the sanction and to the entry of findings that he allegedly refused to provide information and documents requested by FINRA in connection with its investigation into potential excessive trading of customer accounts at his member firm. FINRA’s findings stated that while Smith submitted a partial response, he did not provide all the requested information and documents, including his electronic communications. By refusing to provide the information and documents as requested by FINRA, RONALD G SMITH violated FINRA Rules 8210 and 2010.

According to FINRA’s BrokerCheck, available on FINRA’s website, RONALD G SMITH had been in the securities industry for 12 years and was listed with 2 firms.  Smith has 3 disclosures on his FINRA CRD report.  One Disclosure is the “Regulatory” permanently barring Smith from the industry, and the other two are “Customer Disputes,” one has been closed with no action, and the other disclosure is pending.

On 2/22/2024 the dispute filed against RONALD G SMITH alleges, “Breach of Fiduciary Duty, Negligence, Failure to Supervise, Failure to Recommend Suitable Investments, Failure to Act in Claimants Best Interest, Unauthorized Trading, Misrepresentation and Omission of Material Facts.”  This dispute is requesting damages of $250,000.00.

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