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 |
|---|---|---|---|---|---|---|---|---|
| Benjamin Paul Baum | 1504968 | 4 | 12/12/1989 | Customer Dispute | Award / Judgment | $19,000.00 | $8,125.00 | See FINRA Report |
| Patrick Roland Grayson | 1025195 | 1 | 09/01/1989 | Customer Dispute | Award / Judgment | $6,800.00 | $7,000.00 | See FINRA Report |
| George William Skonberg | 1172890 | 1 | 07/11/1989 | Customer Dispute | Award / Judgment | $0.00 | $100,000.00 | See FINRA Report |
| Timothy William Tunney | 1032749 | 4 | 06/06/1989 | Customer Dispute | Award / Judgment | $50,000.00 | $24,062.00 | See FINRA Report |
| Jeffrey Neil Klotz | 734678 | 1 | 04/15/1989 | Customer Dispute | Award / Judgment | $0.00 | $75,000.00 | See FINRA Report |
| John Robert Sholtis | 1514318 | 3 | 01/01/1989 | Customer Dispute | Award / Judgment | $2,500.00 | $40.00 | See FINRA Report |
| John Robert Sholtis | 1514318 | 3 | 01/01/1989 | Customer Dispute | Award / Judgment | $4,800.00 | $500.00 | See FINRA Report |
| Glen R Sondag | 430603 | 4 | 11/22/1988 | Customer Dispute | Award / Judgment | $62,386.90 | $11,157.10 | See FINRA Report |
| Michael Amico | 1121993 | 2 | 11/08/1988 | Customer Dispute | Award / Judgment | $62,776.00 | $82,608.70 | See FINRA Report |
| Frank Michael Alecci | 2633 | 6 | 10/03/1988 | Customer Dispute | Award / Judgment | $235,000.00 | $0.00 | See FINRA Report |