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 |
|---|---|---|---|---|---|---|---|---|
| Eric Andrew Wittenberg | 1552330 | 4 | 08/10/2022 | Customer Dispute | Award / Judgment | $1,154,090.00 | $0.00 | See FINRA Report |
| David Ray Barnes | 2181896 | 2 | 08/09/2022 | Customer Dispute | Award / Judgment | $3,400,000.00 | $0.00 | See FINRA Report |
| Eric Joel Hynden | 1264719 | 1 | 07/21/2021 | Customer Dispute | Award / Judgment | $1,400,000.00 | $0.00 | See FINRA Report |
| Gerard Joseph Costello | 1551511 | 3 | 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 | 8 | 05/13/2020 | Customer Dispute | Award / Judgment | $250,000.00 | $0.00 | See FINRA Report |
| Gerard Joseph Costello | 1551511 | 3 | 04/14/2020 | Customer Dispute | Award / Judgment | $525,467.00 | $0.00 | See FINRA Report |