Our Staff has compiled our research into a database of FINRA Broker Disclosures for UBS Asset Management (US) 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 |
|---|---|---|---|---|---|---|---|---|
| Stephanie Jane Scarlata | 1712142 | 4 | 07/30/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Stephanie Jane Scarlata | 1712142 | 4 | 09/12/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephanie Jane Scarlata | 1712142 | 4 | 08/14/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephanie Jane Scarlata | 1712142 | 4 | 07/08/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ian Walter Hinchcliffe | 2866708 | 1 | 03/12/2009 | Customer Dispute | Closed-No Action | $335,000.00 | $0.00 | See FINRA Report |