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 |
|---|---|---|---|---|---|---|---|---|
| Theodore Thomas Rutter | 1059609 | 2 | 06/29/2004 | Customer Dispute | Award / Judgment | $343,742.00 | $141,434.00 | See FINRA Report |
| Gerald W Smith | 1487292 | 3 | 02/20/2004 | Customer Dispute | Award / Judgment | $1,075,160.00 | $224,000.00 | See FINRA Report |
| Arthur T Polner | 2660353 | 1 | 10/16/2003 | Customer Dispute | Award / Judgment | $200,000.00 | $30,000.00 | See FINRA Report |
| Michael Howard Radetsky | 1620340 | 2 | 09/26/2003 | Customer Dispute | Award / Judgment | $360,000.00 | $142,000.00 | See FINRA Report |
| Mary Z Zainey Townsend | 2112436 | 1 | 06/30/2003 | Customer Dispute | Award / Judgment | $0.00 | $26,300.00 | See FINRA Report |
| James Patrick Hart | 1449332 | 2 | 05/29/2003 | Customer Dispute | Award / Judgment | $156,000.00 | $61,071.00 | See FINRA Report |
| Paul Foster Green | 1348218 | 3 | 03/17/2003 | Customer Dispute | Award / Judgment | $80,000.00 | $16,500.00 | See FINRA Report |
| Eric J Butler | 2174983 | 2 | 01/08/2003 | Customer Dispute | Award / Judgment | $403,000.00 | $0.00 | See FINRA Report |
| Paul Adrian Kromhout | 1349061 | 2 | 12/11/2002 | Customer Dispute | Award / Judgment | $2,610,800.00 | $1,324,530.00 | See FINRA Report |
| Michael S Wetrich | 2842343 | 2 | 11/15/2002 | Customer Dispute | Award / Judgment | $347,032.00 | $100,000.00 | See FINRA Report |