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 |
|---|---|---|---|---|---|---|---|---|
| Anthony Joseph Parisi | 1110086 | 8 | 09/13/2002 | Customer Dispute | Award / Judgment | $0.00 | $32,819.00 | See FINRA Report |
| Brett Joseph Bergmoser | 3071484 | 1 | 08/15/2002 | Customer Dispute | Award / Judgment | $24,500.00 | $3,127.50 | See FINRA Report |
| Jonathan William Levine | 2291657 | 1 | 08/08/2002 | Customer Dispute | Award / Judgment | $134,250.00 | $91,455.00 | See FINRA Report |
| Gregory Charles Charles Richardson | 2291307 | 2 | 07/08/2002 | Customer Dispute | Award / Judgment | $0.00 | $55,000.00 | See FINRA Report |
| Douglas Patrick Sanker | 1193049 | 1 | 05/16/2002 | Customer Dispute | Award / Judgment | $112,545.00 | $24,500.00 | See FINRA Report |
| Aaron Joel Mendelson | 1846040 | 1 | 02/06/2002 | Customer Dispute | Award / Judgment | $4,500,000.00 | $441,186.00 | See FINRA Report |
| Bradley William Zilbersher | 1226699 | 4 | 08/13/2001 | Customer Dispute | Award / Judgment | $500,000.00 | $338,894.00 | See FINRA Report |
| Paul Gilman | 1639976 | 1 | 08/08/2001 | Customer Dispute | Award / Judgment | $365,609.00 | $30,000.00 | See FINRA Report |
| Robert Edward Leib | 1267444 | 3 | 07/17/2001 | Customer Dispute | Award / Judgment | $174,200.00 | $0.00 | See FINRA Report |
| John Scott Spillane | 2794721 | 2 | 07/12/2001 | Customer Dispute | Award / Judgment | $1,076,220.00 | $421,217.00 | See FINRA Report |