Investigation: Ronald Broadstone, formerly of UBS Financial Services

Ronald Broadstone The Sonn Law Group is investigating claims related to Ronald Broadstone (FINRA CRD Number: 1043159). Ronald Broadstone was barred by FINRA from working in the securities industry on April 27th, 2017.

While at UBS Financial Services Broadstone allegedly misused or misappropriated customer assets, engaged in unauthorized trading, and settled a customer complaint without notifying UBS.

Ronald Broadstone has worked in the securities industry since 1982, beginning his career with The Ohio Company, by whom he was employed from 1982 to 1996. He then moved on to work for McDonald Investments Inc. from 1996 to 2007.

He was most recently employed with UBS Financial Services until his termination in April 2017.

If you’ve ever invested your money with Ronald Broadstone the Sonn Law Group is interested in hearing from you. Our experienced securities fraud attorneys will listen to the specifics of your circumstances and give you an honest evaluation of your options.

Call us now at 305.912.3000 or fill out our short contact form to speak with a legal professional about your investments with Ronald Broadstone.

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