Goodman & Nekvasil P.A., May Recover Investor Losses – Ron Broadstone – Ronald Dale Broadstone, Barred from Securities Industry and Discharged from UBS Financial Services, Inc.
Ron Broadstone was licensed with UBS Financial Services, Inc. from 2007 to 2017. Ron Broadstone was discharged from UBS Financial Services, Inc. on March 21, 2017. UBS Financial Services, Inc. reported to FINRA that Ron Broadstone was discharged 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.
Ron Broadstone was barred from the securities and investment banking industry on April 26, 2017. FINRA reports that Ron Broadstone consented to the sanction and to the entry of findings that Ron Broadstone refused to respond to FINRA’s questions during on-the-record testimony in connection with its investigation into whether he had misused or misappropriated customer assets, engaged in unauthorized trading, or settled a customer complaint without notifying his member firm.
If you lost any money on investments with Ron Broadstone, you may be able to recover your losses from UBS Financial Services, Inc. This is because UBS Financial Services, Inc. had a duty to supervise Ron Broadstone.
If you lost money on investments with Ron Broadstone and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against UBS Financial Services, Inc. concerning Ron Broadstone’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Ron Broadstone and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.