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 |
|---|---|---|---|---|---|---|---|---|
| Alexander Victor Martinelli | 2792688 | 2 | 05/14/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Reicen | 3005462 | 1 | 01/26/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Blaine Fullerton | 2743676 | 2 | 03/01/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Barry Harris | 3212110 | 1 | 12/17/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sunita Gill | 5423342 | 1 | 06/11/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason M Ladner | 4149466 | 1 | 06/10/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Annalisa Rada-McGee | 2473021 | 1 | 05/19/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Andrew D David Ferguson | 4582578 | 1 | 02/05/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jodi McCarthy | 2470303 | 2 | 12/28/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Merithew Allen | 2981060 | 1 | 11/07/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |