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 |
|---|---|---|---|---|---|---|---|---|
| Robert Michael Ryan | 2149592 | 1 | 01/02/2014 | Customer Dispute | Award / Judgment | $1,236,000.00 | $293,266.00 | See FINRA Report |
| Donald Everett Williams | 1428485 | 1 | 10/15/2010 | Customer Dispute | Award / Judgment | $300,000.00 | $0.00 | See FINRA Report |
| Toni E Melinder | 4245208 | 1 | 10/29/2009 | Customer Dispute | Award / Judgment | $315,791.00 | $0.00 | See FINRA Report |
| William Beatty | 2131701 | 1 | 09/15/2009 | Customer Dispute | Award / Judgment | $6,060.00 | $0.00 | See FINRA Report |
| Piers Alexis Hurley | 4016858 | 1 | 07/29/2009 | Customer Dispute | Award / Judgment | $1,547,870.00 | $0.00 | See FINRA Report |
| Bernard Jude King | 1076446 | 2 | 05/11/2009 | Customer Dispute | Award / Judgment | $297,297.00 | $109,000.00 | See FINRA Report |
| James Edward Ducey | 1249644 | 4 | 10/19/2006 | Customer Dispute | Award / Judgment | $19,572.90 | $1,197.75 | See FINRA Report |
| David Wilson Goodenough | 2261680 | 3 | 04/11/2006 | Customer Dispute | Award / Judgment | $2,000,000.00 | $52,313.80 | See FINRA Report |
| Peter Emmett Kenefick | 729749 | 3 | 04/03/2006 | Customer Dispute | Award / Judgment | $500,000.00 | $50,000.00 | See FINRA Report |
| Robert Edward Deforest | 3159301 | 1 | 02/27/2006 | Customer Dispute | Award / Judgment | $600,000.00 | $382,600.00 | See FINRA Report |