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 |
|---|---|---|---|---|---|---|---|---|
| Joseph M Haigler | 873385 | 8 | 11/09/2016 | Customer Dispute | Award / Judgment | $3,000,000.00 | $0.00 | See FINRA Report |
| Angel Manuel Canabal | 2180310 | 36 | 08/26/2016 | Customer Dispute | Award / Judgment | $5,000,000.00 | $0.00 | See FINRA Report |
| Jeffrey Adam Miller | 4251936 | 4 | 06/13/2016 | Customer Dispute | Award / Judgment | $0.00 | $209,775.00 | See FINRA Report |
| Ramon Manuel Almonte | 1014799 | 247 | 03/11/2016 | Customer Dispute | Award / Judgment | $5,000,000.00 | $0.00 | See FINRA Report |
| Ramon Manuel Almonte | 1014799 | 247 | 10/06/2015 | Customer Dispute | Award / Judgment | $5,000,000.00 | $0.00 | See FINRA Report |
| Frank Julio Carrasco | 2006959 | 2 | 09/24/2015 | Customer Dispute | Award / Judgment | $840,000.00 | $0.00 | See FINRA Report |
| Jose Alberto Chaves | 1854754 | 72 | 10/15/2014 | Customer Dispute | Award / Judgment | $3,992,810.00 | $0.00 | See FINRA Report |
| Bradley Joseph Ross | 1325524 | 7 | 08/04/2014 | Customer Dispute | Award / Judgment | $1,057,220.00 | $225,000.00 | See FINRA Report |
| Rainey Lorraine Miller | 4256057 | 1 | 07/01/2014 | Customer Dispute | Award / Judgment | $0.00 | $40,000.00 | See FINRA Report |
| Ramon Manuel Almonte | 1014799 | 247 | 02/27/2014 | Customer Dispute | Award / Judgment | $0.00 | $0.00 | See FINRA Report |