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 |
|---|---|---|---|---|---|---|---|---|
| Nelson Rodriguez Fernandez | 1092772 | 80 | 12/29/2016 | Customer Dispute | Closed-No Action | $2,000,000.00 | $0.00 | See FINRA Report |
| Federico Andres Lopez Juarbe | 4685974 | 39 | 07/22/2016 | Customer Dispute | Closed-No Action | $16,000.00 | $0.00 | See FINRA Report |
| Edward Alan Mirsky | 4034831 | 2 | 11/09/2015 | Customer Dispute | Closed-No Action | $55,000,000.00 | $0.00 | See FINRA Report |
| Michael Alan Jefferies | 803871 | 3 | 11/14/2014 | Customer Dispute | Closed-No Action | $18,421.40 | $0.00 | See FINRA Report |
| Fernando Luis Castillo Rivera | 1260734 | 21 | 10/24/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Isaac D Douek | 4447705 | 2 | 10/24/2014 | Customer Dispute | Closed-No Action | $3,447,140.00 | $0.00 | See FINRA Report |
| Vicente Castillo | 1163483 | 48 | 04/29/2014 | Customer Dispute | Closed-No Action | $70,000,000.00 | $0.00 | See FINRA Report |
| John Hardy Stanford | 4240708 | 1 | 07/25/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Benjamin Perlman | 1892131 | 3 | 07/18/2013 | Customer Dispute | Closed-No Action | $190,000.00 | $0.00 | See FINRA Report |
| Jose Alberto Chaves | 1854754 | 79 | 02/05/2013 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |