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 |
|---|---|---|---|---|---|---|---|---|
| Brent Douglas Roof | 4388018 | 2 | 07/27/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Bradley Thomas Boeckman | 2521307 | 3 | 05/10/2004 | Customer Dispute | Closed-No Action | $132,000.00 | $0.00 | See FINRA Report |
| Joseph William Berkery | 1530481 | 3 | 04/08/2004 | Customer Dispute | Closed-No Action | $46,858.20 | $0.00 | See FINRA Report |
| Charles Joseph Gits | 1144363 | 1 | 03/25/2004 | Customer Dispute | Closed-No Action | $21,000.00 | $6,128.49 | See FINRA Report |
| John William Pavlinec | 1908530 | 2 | 01/21/2004 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Evan Fuwen Ling | 1819227 | 1 | 12/10/2003 | Customer Dispute | Closed-No Action | $100,000.00 | $0.00 | See FINRA Report |
| Kyle Thomas Smith | 2650582 | 1 | 12/02/2003 | Customer Dispute | Closed-No Action | $104,829.00 | $0.00 | See FINRA Report |
| Darran Blake | 2455799 | 5 | 12/01/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Randale John Honaker | 719303 | 4 | 11/20/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Robert Herman | 724747 | 2 | 11/12/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |