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 |
|---|---|---|---|---|---|---|---|---|
| Kevin M Lawi | 4400717 | 1 | 03/17/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Darren Richard Fortunato | 4220418 | 1 | 02/09/2015 | Financial | Final | $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 |