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 |
|---|---|---|---|---|---|---|---|---|
| Melanie Eubanks | 2425955 | 1 | 11/04/2003 | Customer Dispute | Closed-No Action | $405,000.00 | $0.00 | See FINRA Report |
| Steven Kenneth Chensky | 1901877 | 1 | 09/08/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael A Nelson | 1030190 | 3 | 09/02/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John David Irwin | 2274798 | 1 | 08/15/2003 | Customer Dispute | Closed-No Action | $20,432.00 | $0.00 | See FINRA Report |
| Michael J Joseph Lappin | 2510358 | 1 | 08/05/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William Surdovel | 1247958 | 1 | 07/30/2003 | Customer Dispute | Closed-No Action | $13,045.00 | $0.00 | See FINRA Report |
| James J King | 1887125 | 2 | 07/21/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John H Reddington | 1098690 | 1 | 07/02/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Charles O Shaughnessey | 353812 | 1 | 06/16/2003 | Customer Dispute | Closed-No Action | $180,000.00 | $0.00 | See FINRA Report |
| Nina Greenberg Hakim | 1184522 | 7 | 06/12/2003 | Customer Dispute | Closed-No Action | $110,000.00 | $0.00 | See FINRA Report |