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 Louis Appelbaum | 2363285 | 4 | 10/31/2000 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Larry Dean Sock | 1033996 | 1 | 10/18/2000 | Customer Dispute | Closed-No Action | $43,000.00 | $0.00 | See FINRA Report |
| Brett Richard Kinzel | 2459657 | 1 | 07/07/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Edward Y Tom | 1655996 | 5 | 06/14/2000 | Customer Dispute | Closed-No Action | $8,054.00 | $0.00 | See FINRA Report |
| Shelley Treadway Waters | 1309569 | 1 | 06/08/2000 | Customer Dispute | Closed-No Action | $8,700.00 | $0.00 | See FINRA Report |
| John Michael Polanshek | 1315176 | 3 | 05/24/2000 | Customer Dispute | Closed-No Action | $162,000.00 | $0.00 | See FINRA Report |
| Ruth Elizabeth Saada | 1602646 | 2 | 04/11/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Bruce Edward Orenstein | 732486 | 5 | 01/18/2000 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Bruce Edward Orenstein | 732486 | 5 | 11/04/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Patrick Christopher Taylor | 2253175 | 4 | 04/22/1999 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |