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 |
|---|---|---|---|---|---|---|---|---|
| Allan Dean Yarkin | 809579 | 6 | 02/07/1991 | Customer Dispute | Award / Judgment | $43,804.00 | $71,069.10 | See FINRA Report |
| Sean Vance Dillon | 1490506 | 9 | 01/25/1991 | Customer Dispute | Award / Judgment | $100,000.00 | $92,792.00 | See FINRA Report |
| Douglas Wayne Tenny | 1398025 | 2 | 12/17/1990 | Customer Dispute | Award / Judgment | $28,000.00 | $9,950.00 | See FINRA Report |
| Thomas E Edworth Phillips | 362797 | 1 | 11/15/1990 | Customer Dispute | Award / Judgment | $65,000.00 | $32,500.00 | See FINRA Report |
| James Edward Ducey | 1249644 | 4 | 10/03/1990 | Customer Dispute | Award / Judgment | $175,000.00 | $220,166.00 | See FINRA Report |
| Rob Antony Sabel | 1806862 | 1 | 07/05/1990 | Customer Dispute | Award / Judgment | $98,000.00 | $20,000.00 | See FINRA Report |
| Michael Dean Joseph Alioto | 702704 | 15 | 06/12/1990 | Customer Dispute | Award / Judgment | $129,132.00 | $25,000.00 | See FINRA Report |
| David P Paul Sobocinski | 867645 | 5 | 04/12/1990 | Customer Dispute | Award / Judgment | $48,000.00 | $4,545.00 | See FINRA Report |
| Mark Robert Serruto | 1197683 | 3 | 03/07/1990 | Customer Dispute | Award / Judgment | $85,000.00 | $190,000.00 | See FINRA Report |
| Robert Paul Goldstein | 1349953 | 5 | 01/18/1990 | Customer Dispute | Award / Judgment | $200,000.00 | $92,000.00 | See FINRA Report |