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 |
|---|---|---|---|---|---|---|---|---|
| Ryan Thomas Lindgren | 4342104 | 1 | 06/14/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael Scott | 4200012 | 2 | 04/29/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Wellins | 3239846 | 1 | 04/17/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Carmine Cairone Jr | 4189114 | 1 | 01/25/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brandon Russell Smoot | 5411141 | 1 | 12/02/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Neal Robert Smith | 6122596 | 1 | 06/11/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles David Lawson | 5452641 | 3 | 05/02/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Philip D Topacio | 4745641 | 2 | 09/17/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicholas Medland Stell | 4795790 | 1 | 06/29/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Miguel Enrique Hernandez | 4692963 | 7 | 04/21/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |