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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Todd Edward Holloman | 2916611 | 2 | 08/22/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Hoffman | 5027317 | 7 | 08/08/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Leslie Barbadillo | 6596255 | 1 | 08/03/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tracy Jo Schuette | 5433192 | 1 | 09/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |