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 |
|---|---|---|---|---|---|---|---|---|
| Peter F Sheridan | 2838089 | 1 | 02/09/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Todd Edward Holloman | 2916611 | 3 | 05/15/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jean Claude Sanchez | 2267889 | 2 | 09/16/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stephen Nigel Cudjoe | 3217776 | 1 | 09/12/2011 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jean Claude Sanchez | 2267889 | 2 | 06/18/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |