Our Staff has compiled our research into a database of FINRA Broker Disclosures for UMB Financial Services, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Matthew Jacob Wolczko | 7586895 | 1 | 04/18/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephanie Ann Wirth | 7322875 | 1 | 01/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Scott Woodward | 4586353 | 1 | 01/08/2007 | Customer Dispute | Denied | $13,100.00 | $0.00 | See FINRA Report |
| Chris L Schurman | 3228474 | 1 | 02/24/2002 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| James Michael Carlile | 6553249 | 1 | 04/20/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ilya Katsman | 5013446 | 1 | 12/19/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Peter F Braun | 2139389 | 1 | 04/20/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |