Articles Tagged with Ronald Smith

There are Recent Customer Complaints with Broker Ronald Smith in Firm Sanford C. Bernstein & Co., LLC

June 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Smith (Smith), currently associated with Sanford C. Bernstein & Co., LLC, has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $250,000.00 on February 22, 2024.

Breach of Fiduciary Duty, Negligence, Failure to Supervise, Failure to Recommend Suitable Investments, Failureto Act in Claimants Best Interest, Unauthorized Trading, Misrepresentation and Omission of Material Facts.

There are Recent Customer Complaints with Broker Ronald Smith in Firm Pts Brokerage, LLC

February 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Smith (Smith), previously associated with Pts Brokerage, LLC, has at least 2 disclosable events. These events include 2 regulatory, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on December 05, 2024.

SMITH IS THE SUBJECT OF AN ORDER OF A SELF-REGULATORY ORGANIZATION EXPELLING HIM FROM A SELF-REGULATORY ORGANIZATION.