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 |
|---|---|---|---|---|---|---|---|---|
| Holly Lee Hendrix | 836958 | 10 | 11/01/1983 | Customer Dispute | Award / Judgment | $0.00 | $10,000.00 | See FINRA Report |
| Holly Lee Hendrix | 836958 | 10 | 01/01/1983 | Customer Dispute | Award / Judgment | $80,000.00 | $10,000.00 | See FINRA Report |
| Barry Phillip West | 826595 | 10 | 01/01/1980 | Customer Dispute | Award / Judgment | $40,870.00 | $20,000.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 04/17/1974 | Customer Dispute | Award / Judgment | $0.00 | $174,000.00 | See FINRA Report |
| Kenneth George Catanella | 43254 | 15 | 04/17/1974 | Customer Dispute | Award / Judgment | $0.00 | $350,000.00 | See FINRA Report |
| Holly Lee Hendrix | 836958 | 10 | 11/30/-0001 | Customer Dispute | Award / Judgment | $0.00 | $3,000.00 | See FINRA Report |