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 |
|---|---|---|---|---|---|---|---|---|
| Evan Alexander Gould | 7244997 | 1 | 08/25/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Kimmel | 5608985 | 1 | 03/04/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick Doyle Erfort | 6658187 | 1 | 05/21/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frank Michael Alecci | 2633 | 6 | 02/17/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Martin M Maffei | 5576193 | 2 | 01/25/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Wesley Zink | 2959093 | 2 | 06/23/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michelle Lynn Gochanour | 2960401 | 1 | 02/17/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Suzanne Marie Frazier | 2820619 | 1 | 01/05/2008 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Keegan James Mistry | 5568819 | 1 | 11/12/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Franco Ariel Sciamarelli | 5715205 | 1 | 12/24/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |