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 |
|---|---|---|---|---|---|---|---|---|
| Tricia Kristin Kramer | 2039549 | 1 | 07/14/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Krista Eckert Maloney | 2678095 | 1 | 03/29/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Bjerke | 2447092 | 1 | 12/06/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Stephen Shepherd | 2842643 | 1 | 11/14/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Joseph Schnall | 1587999 | 3 | 07/13/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cari Lee Tortorella | 3213780 | 2 | 03/19/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Matthew Cavicchio | 3185399 | 1 | 02/08/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Neelam Seth | 2047009 | 1 | 09/29/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jamie A Baum | 5513604 | 1 | 09/26/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Louis Appelbaum | 2363285 | 4 | 05/07/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |