Securities Arbitration Lawyers BlogHave You Lost Money Investing With Bennett Broad?
As of August 2015, Broad is permanently barred from the securities industry by FINRA
According to his FINRA BrokerCheck report, Bennett Broad, who worked in the financial industry for more than 30 years, has amassed a 15-year history of allegations against him from clients. The complaints, which total 28, compelled the FINRA to sanction Bennett and permanently bar him from the industry in August of 2015.
While he spent much of his career working as a broker for Oppenheimer and Company in Jenkintown, Pennsylvania, Broad also spent several years working for other firms including UBS Financial Services based in Weehawken, New Jersey and Dean Witter Reynolds based in Purchase, New York.