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 |
|---|---|---|---|---|---|---|---|---|
| John Grant Acker | 3024367 | 1 | 08/01/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Michael Amico | 1121993 | 2 | 07/17/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| R Stephen Trudeau | 1123331 | 2 | 06/27/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Duane Anthero Nicolau | 1675859 | 1 | 05/02/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Allan Dean Yarkin | 809579 | 6 | 04/25/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Alexander Victor Martinelli | 2792688 | 2 | 04/15/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Claude Benjamin Edmonds | 2035253 | 2 | 04/07/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| John Joseph Miller | 1525366 | 3 | 03/10/2008 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Steven Greg Solomon | 2208857 | 1 | 03/03/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jason J Wolsefer | 2681949 | 2 | 02/29/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |