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 |
|---|---|---|---|---|---|---|---|---|
| Samuel Leonard Molinaro | 2414084 | 5 | 11/26/2014 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Samuel Leonard Molinaro | 2414084 | 5 | 03/05/2013 | Customer Dispute | Settled | $19,442,700.00 | $0.00 | See FINRA Report |
| Gerardo Olivier Mancia | 5781744 | 1 | 02/11/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Christian Bagdonas | 4597454 | 1 | 09/18/2012 | Employment Separation After Allegations | $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 | |
| Samuel Leonard Molinaro | 2414084 | 5 | 05/05/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Daddario | 2622932 | 3 | 04/14/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Hans Klingbeil | 2972025 | 1 | 08/16/2010 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tricia Hazelwood | 4232035 | 1 | 07/15/2010 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |