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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Charles Charles Kemp | 2850606 | 3 | 04/18/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Christopher Riley Jackson | 2164768 | 1 | 04/04/2001 | Customer Dispute | Closed-No Action | $28,122.00 | $0.00 | See FINRA Report |
| Randale John Honaker | 719303 | 4 | 03/25/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Alfred MacDonald | 2078907 | 3 | 03/14/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Michael Panessiti | 1898047 | 1 | 03/13/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mitchell Paul Slater | 1765778 | 7 | 03/05/2001 | Customer Dispute | Closed-No Action | $5,617.74 | $0.00 | See FINRA Report |
| Christopher Allen Dubberly | 1902613 | 4 | 02/13/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Scott D Douglas Jones | 2196146 | 1 | 01/12/2001 | Customer Dispute | Closed-No Action | $600,000.00 | $0.00 | See FINRA Report |
| Ruth Elizabeth Saada | 1602646 | 2 | 12/11/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Raymond Lance Hart | 2558591 | 1 | 10/31/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |