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 |
|---|---|---|---|---|---|---|---|---|
| Leo Khorolinsky | 2778568 | 1 | 11/12/2002 | Customer Dispute | Closed-No Action | $77,336.00 | $0.00 | See FINRA Report |
| James Fleming Smalley | 708742 | 6 | 10/23/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steven Lee Smith | 1160248 | 1 | 10/14/2002 | Customer Dispute | Closed-No Action | $80,000.00 | $0.00 | See FINRA Report |
| Adrian Crespo | 3146458 | 1 | 08/26/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christopher J Crowe | 1062403 | 1 | 08/13/2002 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Gregory Bryant Alford | 2314588 | 2 | 08/05/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Susan Jane Thomas Hutcheon | 2435508 | 2 | 07/02/2002 | Customer Dispute | Closed-No Action | $6,060.00 | $0.00 | See FINRA Report |
| Claude Benjamin Edmonds | 2035253 | 2 | 05/08/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joseph A Anthony Senna | 2215369 | 1 | 05/01/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mark Andrew Redden | 2574513 | 3 | 04/25/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |