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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Anthony Angelo | 1373178 | 1 | 08/07/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Steven Paul Cox | 5223902 | 1 | 08/07/2024 | Customer Dispute | Settled | $79,331.90 | $0.00 | See FINRA Report |
| Deborah L Bauer | 1039606 | 1 | 07/30/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Thomas Jenkins | 2562513 | 3 | 07/30/2024 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Brannon James Johnson | 6368846 | 1 | 07/25/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jonathan Verne Beukelman | 2633169 | 1 | 07/25/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey K Johnson | 4769233 | 1 | 07/25/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Justin Gromley | 5333019 | 1 | 07/23/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Henry Paul Jakobsze | 2792685 | 2 | 07/16/2024 | Customer Dispute | Denied | $650,000.00 | $0.00 | See FINRA Report |
| Robert Parker Stoner | 4488302 | 1 | 07/11/2024 | Customer Dispute | Denied | $25,100.00 | $0.00 | See FINRA Report |