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 |
|---|---|---|---|---|---|---|---|---|
| James Thomas Young | 2142848 | 1 | 08/29/1997 | Customer Dispute | Award / Judgment | $288,389.00 | $31,826.00 | See FINRA Report |
| James Marc Engel | 1937434 | 2 | 06/03/1997 | Customer Dispute | Award / Judgment | $4,158.96 | $2,578.00 | See FINRA Report |
| Mark Jerome Bloom | 827097 | 2 | 04/16/1997 | Customer Dispute | Award / Judgment | $250,000.00 | $40,568.30 | See FINRA Report |
| Helen Suzanne Hoffman | 1045308 | 5 | 09/06/1996 | Customer Dispute | Award / Judgment | $14,055.50 | $15,055.00 | See FINRA Report |
| Randale John Honaker | 719303 | 4 | 07/18/1996 | Customer Dispute | Award / Judgment | $93,582.00 | $20,000.00 | See FINRA Report |
| Kevin T Ducie | 1215020 | 1 | 07/03/1996 | Customer Dispute | Award / Judgment | $12,500.00 | $407.80 | See FINRA Report |
| Kurt Crandall Nielsen | 1113154 | 2 | 03/14/1996 | Customer Dispute | Award / Judgment | $1,245.08 | $357.67 | See FINRA Report |
| Albert Del Maestro | 1107561 | 1 | 02/16/1996 | Customer Dispute | Award / Judgment | $8,596.00 | $2,043.00 | See FINRA Report |
| Wesley Day Tate | 1208564 | 2 | 01/11/1995 | Customer Dispute | Award / Judgment | $13,900,000.00 | $400,000.00 | See FINRA Report |
| Ramon Manuel Almonte | 1014799 | 247 | 09/20/1994 | Customer Dispute | Award / Judgment | $1,200,000.00 | $194,500.00 | See FINRA Report |