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 |
|---|---|---|---|---|---|---|---|---|
| Samuel Leonard Molinaro | 2414084 | 5 | 11/26/2014 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Samuel Leonard Molinaro | 2414084 | 5 | 03/05/2013 | Customer Dispute | Settled | $19,442,700.00 | $0.00 | See FINRA Report |
| Samuel Leonard Molinaro | 2414084 | 5 | 05/05/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Samuel Leonard Molinaro | 2414084 | 5 | 05/19/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Samuel Leonard Molinaro | 2414084 | 5 | 01/27/2009 | Customer Dispute | Settled | $2,592,920.00 | $0.00 | See FINRA Report |
| Desikan Narasimhan | 4900596 | 1 | 09/08/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Juana Esther Caicedo-Selinger | 2560390 | 1 | 02/28/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Shawn Joseph Barth | 4642944 | 1 | 01/18/2006 | Customer Dispute | Denied | $10,300.00 | $0.00 | See FINRA Report |
| Adrian Crespo | 3146458 | 1 | 08/26/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steven Leo | 2714632 | 1 | 01/11/1999 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |