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 |
|---|---|---|---|---|---|---|---|---|
| Shawn Joseph Barth | 4642944 | 1 | 01/18/2006 | Customer Dispute | Denied | $10,300.00 | $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 | |
| Karl Emil Keirstead | 2526412 | 2 | 09/13/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roy Mathew | 5368351 | 1 | 05/03/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Karl Emil Keirstead | 2526412 | 2 | 01/21/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Adrian Crespo | 3146458 | 1 | 08/26/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brian Robert Meredith | 1530528 | 1 | 06/01/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Wellins | 3239846 | 1 | 04/17/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Leo | 2714632 | 1 | 01/11/1999 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |