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 |
|---|---|---|---|---|---|---|---|---|
| Todd Edward Holloman | 2916611 | 2 | 02/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Madden | 2647468 | 1 | 04/15/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Byron Douglas Wade | 4118204 | 2 | 03/06/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Buchner Lakin | 1667452 | 1 | 11/06/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Lee Sadler | 6409837 | 1 | 09/11/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |