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 |
|---|---|---|---|---|---|---|---|---|
| Ernie Walter Kloock | 3114944 | 2 | 05/02/2023 | Customer Dispute | Pending | $206,000.00 | $0.00 | See FINRA Report |
| Maria Ann Gasparro | 2394770 | 2 | 04/28/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Marc Edmond Haggar | 4146965 | 2 | 04/10/2023 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Thomas Joseph Livaccari | 2376606 | 3 | 04/07/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ford Poston | 5309386 | 2 | 04/05/2023 | Customer Dispute | Denied | $252,077.00 | $0.00 | See FINRA Report |
| David H Carlson | 2214571 | 1 | 04/04/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ricardo Eboli-Kodesh | 4313868 | 15 | 04/03/2023 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Thomas Alan Stiller | 2231566 | 2 | 03/27/2023 | Customer Dispute | Withdrawn | $20,800.00 | $0.00 | See FINRA Report |
| Gregory Allen Foster | 1532735 | 4 | 03/27/2023 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Clinton Wesley Moore | 1685445 | 2 | 03/24/2023 | Customer Dispute | Denied | $8,906.00 | $0.00 | See FINRA Report |