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 |
|---|---|---|---|---|---|---|---|---|
| Steven Xiaoguang Sun | 2805466 | 3 | 09/15/2006 | Customer Dispute | Closed-No Action | $1,530,000.00 | $0.00 | See FINRA Report |
| Peter H Foley | 2580052 | 4 | 08/30/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Craig Stephan Mandel | 1923360 | 4 | 05/25/2006 | Customer Dispute | Closed-No Action | $250,000.00 | $0.00 | See FINRA Report |
| David Joseph Schnall | 1587999 | 3 | 02/22/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Alexander Joel Grumman | 2724798 | 2 | 10/21/2005 | Customer Dispute | Closed-No Action | $15,546.00 | $0.00 | See FINRA Report |
| Ragan Earl Defreese | 1723407 | 5 | 10/14/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gary Mark Spector | 1215422 | 3 | 08/11/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Mark Neil Binder | 2451861 | 1 | 06/22/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gregory Jude Mulligan | 3150250 | 2 | 06/06/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gary Lee Zahakos | 1321057 | 3 | 05/10/2005 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |