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 |
|---|---|---|---|---|---|---|---|---|
| Kristen Jean Zaharski | 7303308 | 1 | 06/28/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Victoria Elizabeth Snider | 5671225 | 2 | 03/16/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gage Krieger | 5257364 | 1 | 11/22/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert J Callanan | 1033366 | 3 | 07/15/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Blake Celes | 5091287 | 1 | 05/15/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Justin Patrick Furstenburg | 4931862 | 1 | 02/24/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ruby Herrera | 5422041 | 1 | 11/21/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Carlyn M English | 3235869 | 1 | 06/08/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Philip D Topacio | 4745641 | 2 | 02/23/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Luiz Fontes | 5613742 | 1 | 09/29/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |