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 |
|---|---|---|---|---|---|---|---|---|
| Gerard Joseph Costello | 1551511 | 10 | 08/25/2020 | Customer Dispute | Award / Judgment | $100,000.00 | $0.00 | See FINRA Report |
| Cory Alan Durham | 5130512 | 1 | 08/25/2020 | Customer Dispute | Award / Judgment | $100,000.00 | $0.00 | See FINRA Report |
| Roderick K von Lipsey | 4270444 | 4 | 08/10/2020 | Customer Dispute | Award / Judgment | $445,894.00 | $0.00 | See FINRA Report |
| William Montgomery Cerf | 2269462 | 6 | 06/22/2020 | Customer Dispute | Award / Judgment | $1,109,480.00 | $0.00 | See FINRA Report |
| Adam Paul Rogers | 4906493 | 1 | 06/05/2020 | Customer Dispute | Award / Judgment | $1,137,640.00 | $0.00 | See FINRA Report |
| Scott Michael Rosenberg | 2754292 | 28 | 05/13/2020 | Customer Dispute | Award / Judgment | $250,000.00 | $0.00 | See FINRA Report |
| Gerard Joseph Costello | 1551511 | 10 | 04/14/2020 | Customer Dispute | Award / Judgment | $525,467.00 | $0.00 | See FINRA Report |
| Henry Paul Jakobsze | 2792685 | 1 | 04/14/2020 | Customer Dispute | Award / Judgment | $525,467.00 | $0.00 | See FINRA Report |
| Sonia Maria Attkiss | 2936806 | 14 | 03/23/2020 | Customer Dispute | Award / Judgment | $730,631.00 | $0.00 | See FINRA Report |
| Jeremy T Shull | 4410022 | 1 | 03/23/2020 | Customer Dispute | Award / Judgment | $730,631.00 | $0.00 | See FINRA Report |