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 |
|---|---|---|---|---|---|---|---|---|
| Paul K Addo | 5422664 | 2 | 09/29/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John H Klaasen | 4904484 | 3 | 09/29/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Andrew Michael Kauth | 2496618 | 2 | 11/30/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Tonya Rice | 4998899 | 1 | 12/03/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Nelson Rodriguez Fernandez | 1092772 | 80 | 07/09/2019 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Richard Ralph Lafferty | 827248 | 1 | 06/10/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ramon Manuel Almonte | 1014799 | 247 | 05/01/2019 | Customer Dispute | Closed-No Action | $108,000.00 | $0.00 | See FINRA Report |
| Ramon Manuel Almonte | 1014799 | 247 | 02/27/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Priya Aggarwal | 4577401 | 1 | 05/09/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ramon Manuel Almonte | 1014799 | 247 | 12/29/2016 | Customer Dispute | Closed-No Action | $2,000,000.00 | $0.00 | See FINRA Report |