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 |
|---|---|---|---|---|---|---|---|---|
| Nicholas G Bode | 4089924 | 1 | 04/05/2002 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Christopher Harvey Rice | 2175213 | 5 | 12/27/2001 | Customer Dispute | Closed-No Action | $88,000.00 | $0.00 | See FINRA Report |
| Luis Javier Loboguerrero | 4072383 | 1 | 12/24/2001 | Customer Dispute | Closed-No Action | $1,800,000.00 | $0.00 | See FINRA Report |
| George C Bitting | 1608816 | 1 | 12/12/2001 | Customer Dispute | Closed-No Action | $950,000.00 | $0.00 | See FINRA Report |
| Thomas Jenkins | 2562513 | 3 | 12/11/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Bernard Zodrow | 1457616 | 2 | 12/11/2001 | Customer Dispute | Closed-No Action | $175,000.00 | $0.00 | See FINRA Report |
| Robert Malcomb Green | 867772 | 2 | 11/30/2001 | Customer Dispute | Closed-No Action | $114,076.00 | $0.00 | See FINRA Report |
| Christopher Harvey Rice | 2175213 | 5 | 11/27/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Louis Appelbaum | 2363285 | 4 | 11/12/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael A Nelson | 1030190 | 3 | 10/03/2001 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |