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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Hans Klingbeil | 2972025 | 1 | 08/16/2010 | Regulatory | Final | $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 | |
| 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 |
| Juana Esther Caicedo-Selinger | 2560390 | 1 | 02/28/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |