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 |
|---|---|---|---|---|---|---|---|---|
| Richard Mark Held | 600760 | 5 | 09/09/2019 | Customer Dispute | Award / Judgment | $1,669,480.00 | $0.00 | See FINRA Report |
| William Montgomery Cerf | 2269462 | 6 | 09/05/2019 | Customer Dispute | Award / Judgment | $7,000,000.00 | $0.00 | See FINRA Report |
| Scott Michael Rosenberg | 2754292 | 8 | 08/26/2019 | Customer Dispute | Award / Judgment | $400,000.00 | $0.00 | See FINRA Report |
| Mark Steven Elias | 2938707 | 3 | 08/26/2019 | Customer Dispute | Award / Judgment | $400,000.00 | $0.00 | See FINRA Report |
| Eduardo Gonzalez | 858618 | 21 | 07/29/2019 | Customer Dispute | Award / Judgment | $15,000,000.00 | $0.00 | See FINRA Report |
| Gabriel Jacob Cooperman | 5542753 | 1 | 03/13/2019 | Customer Dispute | Award / Judgment | $691,206.00 | $0.00 | See FINRA Report |
| Timothy Joseph Croak | 840899 | 4 | 03/13/2019 | Customer Dispute | Award / Judgment | $691,206.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 34 | 03/13/2019 | Customer Dispute | Award / Judgment | $691,206.00 | $0.00 | See FINRA Report |
| Scott Michael Rosenberg | 2754292 | 8 | 02/15/2019 | Customer Dispute | Award / Judgment | $402,182.00 | $0.00 | See FINRA Report |
| Mark Allen Zeller | 2263684 | 1 | 02/15/2019 | Customer Dispute | Award / Judgment | $402,182.00 | $0.00 | See FINRA Report |