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 |
|---|---|---|---|---|---|---|---|---|
| Timothy W W O'Brien | 1200391 | 2 | 03/16/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Matthew Paul Johnson | 2417283 | 3 | 01/31/2005 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Hugh White | 2494341 | 2 | 12/15/2004 | Customer Dispute | Closed-No Action | $178,771.00 | $0.00 | See FINRA Report |
| Robert Daniel Spina | 432195 | 5 | 12/06/2004 | Customer Dispute | Closed-No Action | $90,000.00 | $0.00 | See FINRA Report |
| Arthur Joseph Cahill | 1487974 | 5 | 11/11/2004 | Customer Dispute | Closed-No Action | $5,520.00 | $0.00 | See FINRA Report |
| Gregory Squire Hurst | 3274665 | 1 | 10/28/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joseph P Matina | 2409366 | 5 | 09/14/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Seth Christopher Adams | 3138057 | 2 | 09/13/2004 | Customer Dispute | Closed-No Action | $15,937.20 | $0.00 | See FINRA Report |
| Mitchell Paul Slater | 1765778 | 7 | 08/16/2004 | Customer Dispute | Closed-No Action | $202,000.00 | $0.00 | See FINRA Report |
| John Franklin McCabe | 2004390 | 3 | 07/27/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |