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I'm Jeff Sonn, an attorney concentrating on securities fraud and consumer class actions. I use this blog to bring attention to regulatory filings involving financial advisors, current events in securities and cases in the financial services industry, and to help investors understand their rights and options for financial recovery. Questions? Contact me online or call anytime at 844-689-5754

Investigation: Bennett Scott Broad, Permanently Barred by FINRA

Bennett Broad The Sonn Law Group is investigating claims related to former Oppenheimer and UBS broker Bennett Scott Broad (FINRA CRD#: 702460).

Mr. Broad has 28 customer complaints listed on his FINRA CRD profile for a variety of violations including unsuitability, fraud, breach of contract, negligent supervision, and breach of fiduciary duty.

Bennett Broad has worked in the financial services industry since 1979. Over that period he has worked for four different firms: Oppenheimer & Co. Inc., UBS Painewebber Inc., Dean Witter Reynolds Inc., and Philips, Appel & Walden, Inc.

If you’ve ever invested your money with Bennett Broad and suffered significant losses because of his fraudulent or negligent actions, the Sonn Law Group is interested in hearing from you to discuss possible legal remedies.

Call us now at 305.912.3000 or fill out our short contact form to speak with a legal representative from our firm about your experience with Bennett Broad.

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