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 |
|---|---|---|---|---|---|---|---|---|
| Hannah Dasta | 7549181 | 1 | 08/31/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Mazmanian | 5686359 | 1 | 11/01/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Reckdenwald | 7381961 | 1 | 02/22/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jonathan Romero | 7607693 | 1 | 05/25/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roy Mathew | 5368351 | 1 | 05/03/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Wellins | 3239846 | 1 | 04/17/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin P Hanko | 4483062 | 1 | 09/25/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph L Policastro | 3172668 | 1 | 09/13/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Bjerke | 2447092 | 1 | 12/06/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michele Dawn Cubic | 2224193 | 1 | 04/08/1987 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |