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 |
|---|---|---|---|---|---|---|---|---|
| Desikan Narasimhan | 4900596 | 1 | 09/08/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Shawn Joseph Barth | 4642944 | 1 | 01/18/2006 | Customer Dispute | Denied | $10,300.00 | $0.00 | See FINRA Report |