(CRD #6038062, Stamford, Connecticut)

November 10, 2025 – An AWC was issued in which Ronald G. Smith was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Smith consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA in connection with its investigation into potential excessive trading of customer accounts at his member firm. The findings stated that while Smith submitted a partial response, he did not provide all of the requested information and documents, including his electronic communications. (FINRA Case #2018056490334) If you have suffered losses as a result of Ronald G. Smith ’s act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Ronald G. Smith . The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at  (813) 226-3372 or email Matthew Schwartz directly at mschwartz@tslfirm.com.