Our Staff has compiled our research into a database of FINRA Broker Disclosures for UBS Securities LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Peter F Sheridan | 2838089 | 1 | 02/09/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hannah Dasta | 7549181 | 1 | 08/31/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Todd Edward Holloman | 2916611 | 3 | 05/15/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Hoffman | 5027317 | 7 | 12/09/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Hoffman | 5027317 | 7 | 07/28/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Hoffman | 5027317 | 7 | 03/04/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Hoffman | 5027317 | 7 | 03/04/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Hoffman | 5027317 | 7 | 01/15/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Hoffman | 5027317 | 7 | 01/15/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Marissa Hemby | 6699084 | 2 | 09/24/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |