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 |
|---|---|---|---|---|---|---|---|---|
| Michael Craig Carr | 2916736 | 1 | 06/05/2003 | Customer Dispute | Closed-No Action | $18,172.90 | $0.00 | See FINRA Report |
| Michael Donald Dwyer | 1452239 | 1 | 05/08/2003 | Customer Dispute | Closed-No Action | $75,000.00 | $0.00 | See FINRA Report |
| Robert Malcomb Green | 867772 | 2 | 05/01/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kevin Eugene Nichols | 2446032 | 2 | 03/18/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steven Vincent Nuccio | 2502672 | 3 | 02/19/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Bartley James Bates | 1579493 | 1 | 01/07/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Wilfred Ross Keyser | 2628737 | 1 | 12/24/2002 | Customer Dispute | Closed-No Action | $259,000.00 | $0.00 | See FINRA Report |
| Gregory Charles Charles Richardson | 2291307 | 2 | 12/20/2002 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Joyce A Ann Meyer | 2749887 | 1 | 12/19/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John William Hovekamp | 1513970 | 2 | 11/13/2002 | Customer Dispute | Closed-No Action | $37,000.00 | $0.00 | See FINRA Report |