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 |
|---|---|---|---|---|---|---|---|---|
| Russell Robert Cappelen | 5716452 | 1 | 02/22/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Joseph Doherty | 2386939 | 2 | 08/23/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Megan Rae Landon | 7297539 | 1 | 12/19/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Xavier Ortiz Mena | 2930223 | 1 | 12/03/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Edward Cornwell | 2167834 | 1 | 07/15/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew John Tomaino | 7552517 | 1 | 08/09/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Zachary Donovan Werner | 7207877 | 1 | 08/08/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alshamiere Fields | 7247629 | 1 | 03/03/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brennan David Lane | 6696196 | 1 | 11/02/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Justina Marie Marie Bowker | 7031127 | 1 | 09/20/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |