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 |
|---|---|---|---|---|---|---|---|---|
| Haydee M Delgado | 1619094 | 2 | 06/27/2018 | Customer Dispute | Award / Judgment | $295,000.00 | $0.00 | See FINRA Report |
| Doel Rafael Garciaromero | 1301785 | 95 | 06/27/2018 | Customer Dispute | Award / Judgment | $295,000.00 | $0.00 | See FINRA Report |
| Carlos Verner Ubinas Taylor | 1985568 | 90 | 06/27/2018 | Customer Dispute | Award / Judgment | $295,000.00 | $0.00 | See FINRA Report |
| Mark S Katz | 2155766 | 2 | 02/15/2018 | Customer Dispute | Award / Judgment | $886,000.00 | $467,620.00 | See FINRA Report |
| Doel Rafael Garciaromero | 1301785 | 95 | 11/15/2017 | Customer Dispute | Award / Judgment | $6,000,000.00 | $4,881,130.00 | See FINRA Report |
| George Mason Rankin | 4015668 | 1 | 09/27/2017 | Customer Dispute | Award / Judgment | $849,221.00 | $126,452.00 | See FINRA Report |
| Nelson Rodriguez Fernandez | 1092772 | 80 | 08/31/2017 | Customer Dispute | Award / Judgment | $7,309,510.00 | $0.00 | See FINRA Report |
| Samuel Boyce Rankin | 811491 | 7 | 07/28/2017 | Customer Dispute | Award / Judgment | $0.00 | $126,452.00 | See FINRA Report |
| James Francis Leen | 734797 | 3 | 04/13/2017 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See FINRA Report |
| Ramon Manuel Almonte | 1014799 | 247 | 11/10/2016 | Customer Dispute | Award / Judgment | $30,088,700.00 | $0.00 | See FINRA Report |