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 |
|---|---|---|---|---|---|---|---|---|
| David S Justman | 826490 | 4 | 07/10/2009 | Customer Dispute | Closed-No Action | $20,670.00 | $0.00 | See FINRA Report |
| David S Justman | 826490 | 4 | 06/18/2009 | Customer Dispute | Closed-No Action | $15,310.00 | $0.00 | See FINRA Report |
| Evans Y Lam | 2175245 | 4 | 04/01/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Rollan Jay Degeare | 4243366 | 1 | 03/16/2009 | Customer Dispute | Closed-No Action | $30,000.00 | $0.00 | See FINRA Report |
| Paul A Platek | 2941324 | 2 | 03/16/2009 | Customer Dispute | Closed-No Action | $43,000.00 | $0.00 | See FINRA Report |
| Ronald Eugene Bryson | 730178 | 1 | 11/24/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Frank M Michael Massotto | 707927 | 2 | 11/03/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Jason Richard Feder | 2685971 | 1 | 10/23/2008 | Customer Dispute | Closed-No Action | $61,245.00 | $0.00 | See FINRA Report |
| William R Slater | 1371510 | 1 | 09/08/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| George Michael Feldman | 2685974 | 1 | 08/05/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |