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 |
|---|---|---|---|---|---|---|---|---|
| Jose Alberto Chaves | 1854754 | 79 | 09/07/2011 | Customer Dispute | Closed-No Action | $126,382.00 | $0.00 | See FINRA Report |
| Jeffrey Roberts Dunigan | 2284586 | 1 | 12/02/2010 | Customer Dispute | Closed-No Action | $11,455.90 | $0.00 | See FINRA Report |
| Joergen H Herbert K Schade | 412245 | 2 | 05/07/2010 | Customer Dispute | Closed-No Action | $5,019.90 | $0.00 | See FINRA Report |
| Patrick Christopher Taylor | 2253175 | 4 | 03/11/2010 | Customer Dispute | Closed-No Action | $88,063.70 | $0.00 | See FINRA Report |
| Vangel Charles Cotsis | 4590871 | 1 | 01/26/2010 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Adam F Epstein | 4043653 | 5 | 10/06/2009 | Customer Dispute | Closed-No Action | $60,000.00 | $0.00 | See FINRA Report |
| Colin Edward Parks | 2419544 | 1 | 08/20/2009 | Customer Dispute | Closed-No Action | $75,000.00 | $0.00 | See FINRA Report |
| Joellen Pastors | 4903689 | 1 | 08/14/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gerald W Anders | 2176894 | 3 | 08/13/2009 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Quang N Bui | 2768876 | 1 | 08/03/2009 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |