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 |
|---|---|---|---|---|---|---|---|---|
| Michael Dean Joseph Alioto | 702704 | 15 | 08/05/1988 | Customer Dispute | Award / Judgment | $932,075.00 | $789,521.00 | See FINRA Report |
| Charles Sumner Smith | 501256 | 4 | 07/26/1988 | Customer Dispute | Award / Judgment | $95,000.00 | $20,000.00 | See FINRA Report |
| David S Justman | 826490 | 4 | 04/29/1988 | Customer Dispute | Award / Judgment | $0.00 | $500.00 | See FINRA Report |
| Frank Joseph Sabia | 717222 | 1 | 03/18/1988 | Customer Dispute | Award / Judgment | $230,046.00 | $162,000.00 | See FINRA Report |
| Myron Humphrey Bond | 25509 | 2 | 02/16/1988 | Customer Dispute | Award / Judgment | $1,752,000.00 | $342,860.00 | See FINRA Report |
| Timothy William Tunney | 1032749 | 4 | 11/17/1987 | Customer Dispute | Award / Judgment | $66,946.00 | $46,000.00 | See FINRA Report |
| J Thomas Smith | 427994 | 5 | 04/29/1987 | Customer Dispute | Award / Judgment | $25,000.00 | $6,250.00 | See FINRA Report |
| Dan Robert Lindstrom | 731250 | 2 | 05/12/1986 | Customer Dispute | Award / Judgment | $29,212.90 | $10,000.00 | See FINRA Report |
| Edmund G Nasief Jr | 819845 | 1 | 05/01/1986 | Customer Dispute | Award / Judgment | $50,352.00 | $19,949.00 | See FINRA Report |
| Douglas Charles Gast | 218603 | 2 | 07/01/1985 | Customer Dispute | Award / Judgment | $195,000.00 | $79,000.00 | See FINRA Report |