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 |
|---|---|---|---|---|---|---|---|---|
| Taylor Michael Thompson | 5951104 | 1 | 06/01/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Michael W William Thompson | 1111881 | 3 | 06/01/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Joseph P Katzaroff | 1811119 | 4 | 06/01/2023 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |
| Daisy A Feng | 3251105 | 1 | 05/30/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen John Seiber | 1432535 | 1 | 05/26/2023 | Customer Dispute | Denied | $1,750,000.00 | $0.00 | See FINRA Report |
| Nichole Elizabeth Elizabeth Adams | 4907232 | 1 | 05/26/2023 | Customer Dispute | Denied | $1,750,000.00 | $0.00 | See FINRA Report |
| John Mitchell Seiber | 418099 | 1 | 05/26/2023 | Customer Dispute | Denied | $1,750,000.00 | $0.00 | See FINRA Report |
| Richard Allan Gibbs | 4659304 | 1 | 05/23/2023 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Marisol Colomer | 4902919 | 1 | 05/14/2023 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| John Howard Saunders | 870131 | 6 | 05/11/2023 | Customer Dispute | Pending | $400,000.00 | $0.00 | See FINRA Report |