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 |
|---|---|---|---|---|---|---|---|---|
| Dane Curtiss Urie | 1500806 | 2 | 04/22/1999 | Customer Dispute | Closed-No Action | $8,000.00 | $0.00 | See FINRA Report |
| Geoffrey Michael Mann | 1487935 | 8 | 03/17/1999 | Customer Dispute | Closed-No Action | $75,000.00 | $0.00 | See FINRA Report |
| John Raben | 1492334 | 1 | 03/01/1999 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| John Victor Lipari | 1060434 | 1 | 01/13/1999 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Eugenio Alberto Permuy | 2829734 | 2 | 11/12/1998 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Christopher D Scroggins | 2316466 | 5 | 07/22/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Eliot Aycock | 1656944 | 4 | 06/25/1998 | Customer Dispute | Closed-No Action | $166,353.00 | $0.00 | See FINRA Report |
| Helen Suzanne Hoffman | 1045308 | 5 | 02/23/1998 | Customer Dispute | Closed-No Action | $300,000.00 | $0.00 | See FINRA Report |
| John W Warren Bloom | 1372242 | 4 | 08/26/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Edward Y Tom | 1655996 | 5 | 07/19/1994 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |