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 |
|---|---|---|---|---|---|---|---|---|
| Arturo Alejandro Bravo | 6034780 | 1 | 01/31/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Maria Ann Gasparro | 2394770 | 2 | 01/23/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Scott Anderson | 861199 | 2 | 01/13/2023 | Customer Dispute | Settled | $423,191.00 | $0.00 | See FINRA Report |
| Scott Michael Rosenberg | 2754292 | 8 | 01/10/2023 | Customer Dispute | Pending | $500,000.00 | $0.00 | See FINRA Report |
| Morgan Paul Hees | 1607769 | 1 | 01/03/2023 | Customer Dispute | Settled | $637,686.00 | $0.00 | See FINRA Report |
| Nicholas Robert Catania | 2792998 | 3 | 12/28/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Adam Drechsel Skagen | 5176830 | 1 | 12/27/2022 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Terence Joseph Hardy | 6419109 | 1 | 12/17/2022 | Customer Dispute | Denied | $33,000.00 | $0.00 | See FINRA Report |
| William Montgomery Cerf | 2269462 | 6 | 12/15/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin E Wesner | 2827165 | 2 | 12/13/2022 | Customer Dispute | Pending | $1,000,000.00 | $0.00 | See FINRA Report |