Our Staff has compiled our research into a database of FINRA Broker Disclosures for UBS Financial Services Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Rey F Medina Velez | 3118991 | 37 | 01/12/2023 | Customer Dispute | Pending | $103,925.00 | $0.00 | See FINRA Report |
| Morgan Paul Hees | 1607769 | 1 | 01/03/2023 | Customer Dispute | Pending | $637,686.00 | $0.00 | See FINRA Report |
| Nicholas Robert Catania | 2792998 | 3 | 12/28/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Adam Drechsel Skagen | 5176830 | 1 | 12/27/2022 | Customer Dispute | Pending | $35,000.00 | $0.00 | See FINRA Report |
| Dorothy Decarlo | 4979403 | 1 | 12/16/2022 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| William Montgomery Cerf | 2269462 | 6 | 12/15/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| David Allan Hirsch | 1341777 | 6 | 12/13/2022 | Customer Dispute | Pending | $1,600,000.00 | $0.00 | See FINRA Report |
| Kevin E Wesner | 2827165 | 2 | 12/13/2022 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| John Bradfield Ryan | 2564445 | 1 | 12/12/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Samuel Charles Rosis | 6723029 | 1 | 12/07/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |