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 |
|---|---|---|---|---|---|---|---|---|
| Michael McRae Dellinger | 4558550 | 4 | 11/03/2022 | Customer Dispute | Settled | $1,580,000.00 | $0.00 | See FINRA Report |
| Robert Charles Mueller | 2647227 | 7 | 11/03/2022 | Customer Dispute | Settled | $1,580,000.00 | $0.00 | See FINRA Report |
| Michael McRae Dellinger | 4558550 | 4 | 10/26/2022 | Customer Dispute | Settled | $1,194,000.00 | $0.00 | See FINRA Report |
| Michael McRae Dellinger | 4558550 | 4 | 10/26/2022 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |
| Robert Charles Mueller | 2647227 | 7 | 10/26/2022 | Customer Dispute | Settled | $1,194,000.00 | $0.00 | See FINRA Report |
| Robert Charles Mueller | 2647227 | 7 | 10/26/2022 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |
| Howard L Woo | 4606756 | 1 | 10/21/2022 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 34 | 10/21/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Peter Lloyd Rukeyser | 2500523 | 1 | 10/19/2022 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Yoon Ji Park | 6787092 | 1 | 10/17/2022 | Customer Dispute | Settled | $511,000.00 | $0.00 | See FINRA Report |