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 |
|---|---|---|---|---|---|---|---|---|
| Zachary Dent Kiani | 5772745 | 1 | 08/09/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Chad Campbell Kelley | 4439829 | 1 | 05/17/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wilfrid Edward Marrin | 4230480 | 2 | 06/17/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wilfrid Edward Marrin | 4230480 | 2 | 03/29/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Teresa Yvonne Betzler | 2475846 | 2 | 08/15/2016 | 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 | |
| Teresa Yvonne Betzler | 2475846 | 2 | 04/14/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Byron Douglas Wade | 4118204 | 2 | 09/13/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Siccone | 1388727 | 2 | 06/12/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Siccone | 1388727 | 2 | 04/22/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |