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 |
|---|---|---|---|---|---|---|---|---|
| Charles David Medelberg | 1021432 | 3 | 02/19/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Douglas Robert Meyer | 1718989 | 5 | 01/23/2008 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| James Demetrius Kremen | 4845611 | 1 | 09/11/2007 | Customer Dispute | Closed-No Action | $12,800.00 | $0.00 | See FINRA Report |
| Jean Carlo Ferrer | 4253103 | 8 | 08/21/2007 | Customer Dispute | Closed-No Action | $69,745.50 | $0.00 | See FINRA Report |
| Manuel Eduardo Heredia | 4338268 | 1 | 08/20/2007 | Customer Dispute | Closed-No Action | $12,000.00 | $0.00 | See FINRA Report |
| Robert Phillip Schilling | 1072399 | 3 | 05/14/2007 | Customer Dispute | Closed-No Action | $12,500.00 | $0.00 | See FINRA Report |
| Matthew J Bragg | 2820146 | 4 | 11/09/2006 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| John J Cowley | 2769857 | 3 | 11/03/2006 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Dean Christopher Dagnoli | 3168692 | 1 | 10/30/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael Ravosa | 4019756 | 3 | 10/30/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |