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 |
|---|---|---|---|---|---|---|---|---|
| Scott Del Zelniker | 2257828 | 1 | 05/08/2001 | Customer Dispute | Award / Judgment | $976,000.00 | $143,193.00 | See FINRA Report |
| Franklin Carlyle Tiller | 2554957 | 1 | 04/05/2001 | Customer Dispute | Award / Judgment | $5,000,000.00 | $1,000,000.00 | See FINRA Report |
| Sherwyn Jimmy Mistry | 1735447 | 3 | 02/27/2001 | Customer Dispute | Award / Judgment | $500,000.00 | $178,782.00 | See FINRA Report |
| Gregory Dale Hastings | 719301 | 3 | 12/11/2000 | Customer Dispute | Award / Judgment | $1,600,000.00 | $1,541,860.00 | See FINRA Report |
| Nancy Carol Bernstein | 1253700 | 2 | 12/11/2000 | Customer Dispute | Award / Judgment | $0.00 | $38,125.00 | See FINRA Report |
| Gerald F Demeo | 2023547 | 1 | 01/24/2000 | Customer Dispute | Award / Judgment | $20,000.00 | $9,500.00 | See FINRA Report |
| Frederick Paynter Burrows | 1092723 | 2 | 02/26/1999 | Customer Dispute | Award / Judgment | $550,000.00 | $353,000.00 | See FINRA Report |
| Michael Scott Jankiewicz | 1462896 | 2 | 10/02/1998 | Customer Dispute | Award / Judgment | $5,000.00 | $1,192.95 | See FINRA Report |
| William Burton Shreve | 852878 | 3 | 08/18/1998 | Customer Dispute | Award / Judgment | $412,000.00 | $8,000.00 | See FINRA Report |
| Paul James Higgins | 2254223 | 3 | 02/10/1998 | Customer Dispute | Award / Judgment | $141,000.00 | $60,689.00 | See FINRA Report |