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 |
|---|---|---|---|---|---|---|---|---|
| Gregory Joseph Habig | 2376935 | 1 | 07/05/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cindy Ellen Farber | 4886324 | 1 | 06/30/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Allen Flippo | 5535853 | 1 | 05/15/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Derek C Smith | 6227684 | 1 | 08/18/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Madison Massey | 4740798 | 2 | 06/24/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Haley Daughtry | 5383146 | 1 | 06/06/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Michael Simi | 2123998 | 1 | 05/30/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael M Mauzy | 5394855 | 1 | 03/11/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Allan Stuart Fields | 207299 | 4 | 10/01/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Andrew Mann | 5474333 | 1 | 09/14/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |