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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Stern Buchsbaum | 2220565 | 32 | 02/07/2020 | Customer Dispute | Award / Judgment | $2,200,000.00 | $0.00 | See FINRA Report |
| William Montgomery Cerf | 2269462 | 6 | 02/07/2020 | Customer Dispute | Award / Judgment | $2,200,000.00 | $0.00 | See FINRA Report |
| Jason Matthew Dworak | 2434370 | 1 | 12/20/2019 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 32 | 11/12/2019 | Customer Dispute | Award / Judgment | $6,500,000.00 | $0.00 | See FINRA Report |
| Scott Michael Rosenberg | 2754292 | 28 | 11/12/2019 | Customer Dispute | Award / Judgment | $6,500,000.00 | $0.00 | See FINRA Report |
| Jeremy Seidman | 4706814 | 2 | 11/12/2019 | Customer Dispute | Award / Judgment | $6,500,000.00 | $0.00 | See FINRA Report |
| Christopher Robert Black | 2186558 | 7 | 10/09/2019 | Customer Dispute | Award / Judgment | $1,200,000.00 | $0.00 | See FINRA Report |
| Richard Mark Held | 600760 | 5 | 09/09/2019 | Customer Dispute | Award / Judgment | $1,669,480.00 | $0.00 | See FINRA Report |
| Ortal Shachar | 2940760 | 1 | 09/09/2019 | Customer Dispute | Award / Judgment | $1,669,480.00 | $0.00 | See FINRA Report |
| Scott Michael Rosenberg | 2754292 | 28 | 08/26/2019 | Customer Dispute | Award / Judgment | $400,000.00 | $0.00 | See FINRA Report |