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 |
|---|---|---|---|---|---|---|---|---|
| Avery Lauren Venetta | 7154070 | 1 | 03/23/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Hector Manuel Mercado | 1757136 | 6 | 03/23/2023 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Dimitri Rassias | 5709989 | 1 | 03/08/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marc Edmond Haggar | 4146965 | 2 | 03/03/2023 | Customer Dispute | Denied | $70,000.00 | $0.00 | See FINRA Report |
| Alex Rene Chivarsky | 5108596 | 1 | 02/21/2023 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| John P O'Leary | 2354306 | 5 | 02/09/2023 | Customer Dispute | Denied | $419,770.00 | $0.00 | See FINRA Report |
| Michael Thomas Eustace | 2814830 | 3 | 02/07/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Nicholas Vassalotti | 1461475 | 4 | 02/01/2023 | Customer Dispute | Settled | $974,094.00 | $0.00 | See FINRA Report |
| Jack Ryan Riley | 4306836 | 3 | 02/01/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jack Ryan Riley | 4306836 | 3 | 02/01/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |