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 |
|---|---|---|---|---|---|---|---|---|
| John Michael Polanshek | 1315176 | 3 | 08/21/1991 | Customer Dispute | Award / Judgment | $10,171.00 | $2,188.50 | See FINRA Report |
| Jose Joaquin Rodriguez-Villalobos | 1170207 | 4 | 07/15/1991 | Customer Dispute | Award / Judgment | $160,000.00 | $17,548.70 | See FINRA Report |
| Leonard Jay Suskind | 1140599 | 4 | 07/03/1991 | Customer Dispute | Award / Judgment | $1,808,000.00 | $904,249.00 | See FINRA Report |
| Susan Mabel Morse | 1129465 | 3 | 06/10/1991 | Customer Dispute | Award / Judgment | $10,000.00 | $7,713.47 | See FINRA Report |
| Stephen Jeremy Hall | 234314 | 3 | 06/01/1991 | Customer Dispute | Award / Judgment | $0.00 | $4,383.57 | See FINRA Report |
| Sean Vance Dillon | 1490506 | 9 | 05/01/1991 | Customer Dispute | Award / Judgment | $300,000.00 | $72,576.30 | See FINRA Report |
| Allan Dean Yarkin | 809579 | 6 | 04/29/1991 | Customer Dispute | Award / Judgment | $47,345.00 | $15,250.00 | See FINRA Report |
| Melinda Joyce Abood | 867463 | 5 | 03/22/1991 | Customer Dispute | Award / Judgment | $117,134.00 | $123,472.00 | See FINRA Report |
| Michael Dean Joseph Alioto | 702704 | 15 | 03/07/1991 | Customer Dispute | Award / Judgment | $31,421.00 | $6,024.00 | See FINRA Report |
| Charles L Verner | 1196231 | 3 | 02/22/1991 | Customer Dispute | Award / Judgment | $13,750.00 | $13,750.00 | See FINRA Report |