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 |
|---|---|---|---|---|---|---|---|---|
| Trine Benedict Ford | 1804279 | 1 | 09/07/2001 | Customer Dispute | Closed-No Action | $37,846.90 | $0.00 | See FINRA Report |
| Dario Suarez | 1143417 | 76 | 08/20/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Edgar Iseman | 3050518 | 4 | 08/13/2001 | Customer Dispute | Closed-No Action | $75,000.00 | $0.00 | See FINRA Report |
| Michael Louis Appelbaum | 2363285 | 4 | 08/13/2001 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| William Charles Neuens | 1136820 | 1 | 07/19/2001 | Customer Dispute | Closed-No Action | $87,000.00 | $0.00 | See FINRA Report |
| Paul James Higgins | 2254223 | 3 | 07/18/2001 | Customer Dispute | Closed-No Action | $46,000.00 | $0.00 | See FINRA Report |
| Robert Christopher Cummins | 1549923 | 1 | 07/16/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Darrick James Walker | 2470800 | 3 | 06/06/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joseph Brian Calao | 2811513 | 1 | 05/25/2001 | Customer Dispute | Closed-No Action | $12,600.00 | $0.00 | See FINRA Report |
| Michael A Zinn | 2141298 | 1 | 04/26/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |