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 |
|---|---|---|---|---|---|---|---|---|
| William A Grillo | 4844948 | 2 | 10/11/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rachel Joanne Taylor | 3094835 | 1 | 10/07/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert S Crittendon | 4508226 | 1 | 09/25/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nikolas Adell | 2779047 | 1 | 05/30/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Henry A Dreyer | 4278772 | 1 | 05/13/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Antonio Otero | 5225981 | 2 | 01/11/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Allen Smith | 3105736 | 1 | 11/23/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jodi McCarthy | 2470303 | 2 | 10/31/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Scott McHenry | 2216681 | 1 | 09/10/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Christopher Austin Kroberger | 2152211 | 3 | 07/21/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |