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 |
|---|---|---|---|---|---|---|---|---|
| David Allan Hirsch | 1341777 | 3 | 12/13/2022 | Customer Dispute | Settled | $1,600,000.00 | $0.00 | See FINRA Report |
| John Bradfield Ryan | 2564445 | 1 | 12/12/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Samuel Charles Rosis | 6723029 | 1 | 12/07/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lance Edward Cholet | 3239588 | 2 | 12/07/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles David Lawson | 5452641 | 3 | 12/07/2022 | Customer Dispute | Settled | $286,779.00 | $0.00 | See FINRA Report |
| Steven Westerman | 4690987 | 1 | 12/06/2022 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Joshua R Axel | 4227334 | 3 | 12/02/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Monda Degan Hanna | 1173486 | 1 | 11/18/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James P Sheffield | 2951594 | 1 | 11/10/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Douglas Murray | 2896442 | 3 | 11/07/2022 | Customer Dispute | Denied | $32,602.20 | $0.00 | See FINRA Report |