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 |
|---|---|---|---|---|---|---|---|---|
| Andrew David Geller | 500253 | 4 | 09/27/1993 | Customer Dispute | Award / Judgment | $250,000.00 | $96,250.00 | See FINRA Report |
| Stephen Jeremy Hall | 234314 | 3 | 07/02/1993 | Customer Dispute | Award / Judgment | $54,871.00 | $1,072.68 | See FINRA Report |
| Rick Spyro Kirkinis | 718062 | 1 | 06/09/1993 | Customer Dispute | Award / Judgment | $9,354.80 | $12,904.20 | See FINRA Report |
| Christopher James Conroy | 1481945 | 4 | 01/13/1993 | Customer Dispute | Award / Judgment | $0.00 | $5,000.00 | See FINRA Report |
| Barry Phillip West | 826595 | 10 | 12/23/1992 | Customer Dispute | Award / Judgment | $224,000.00 | $152,483.00 | See FINRA Report |
| Jonathan Howard Grabel | 1264873 | 6 | 08/01/1992 | Customer Dispute | Award / Judgment | $820,000.00 | $53,865.00 | See FINRA Report |
| Mark Robert Serruto | 1197683 | 3 | 04/15/1992 | Customer Dispute | Award / Judgment | $122,428.00 | $70,000.00 | See FINRA Report |
| Charles Harold Cooper | 1001588 | 3 | 03/03/1992 | Customer Dispute | Award / Judgment | $4,750.00 | $12,000.00 | See FINRA Report |
| Steven John Greco | 1988549 | 2 | 11/25/1991 | Customer Dispute | Award / Judgment | $7,200.00 | $3,600.00 | See FINRA Report |
| John James Petracco | 1066918 | 13 | 11/08/1991 | Customer Dispute | Award / Judgment | $19,620.00 | $3,500.00 | See FINRA Report |