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 |
|---|---|---|---|---|---|---|---|---|
| Jean Claude Sanchez | 2267889 | 2 | 06/18/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Daddario | 2622932 | 3 | 02/19/2010 | Customer Dispute | Settled | $54,050,000.00 | $0.00 | See FINRA Report |
| Robert Daddario | 2622932 | 3 | 12/14/2009 | Customer Dispute | Award / Judgment | $8,610,000.00 | $1,824,120.00 | See FINRA Report |
| Christopher Daniel Infante | 5186765 | 1 | 09/18/2009 | Customer Dispute | Settled | $94,742.40 | $0.00 | See FINRA Report |
| Samuel Leonard Molinaro | 2414084 | 5 | 05/19/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Reckdenwald | 7381961 | 1 | 02/22/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Samuel Leonard Molinaro | 2414084 | 5 | 01/27/2009 | Customer Dispute | Settled | $2,592,920.00 | $0.00 | See FINRA Report |
| Desikan Narasimhan | 4900596 | 1 | 09/08/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Jonathan Romero | 7607693 | 1 | 05/25/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shawn Joseph Barth | 4642944 | 1 | 01/18/2006 | Customer Dispute | Denied | $10,300.00 | $0.00 | See FINRA Report |