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 |
|---|---|---|---|---|---|---|---|---|
| Gerard Joseph Costello | 1551511 | 3 | 10/11/2022 | Customer Dispute | Withdrawn | $900,000.00 | $0.00 | See FINRA Report |
| Scott Michael Rosenberg | 2754292 | 8 | 10/11/2022 | Customer Dispute | Withdrawn | $900,000.00 | $0.00 | See FINRA Report |
| Marc Craig Portnoy | 718810 | 1 | 10/11/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Edward Michael Brennan | 2121919 | 1 | 10/07/2022 | Customer Dispute | Denied | $37,755.00 | $0.00 | See FINRA Report |
| Susan S Bordash | 872644 | 2 | 10/07/2022 | Customer Dispute | Denied | $37,755.00 | $0.00 | See FINRA Report |
| Dario Suarez | 1143417 | 76 | 10/06/2022 | Customer Dispute | Denied | $214,000.00 | $0.00 | See FINRA Report |
| Shawn Steven Oliver | 2015244 | 2 | 09/29/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Nicholas Leighton | 6712286 | 1 | 09/27/2022 | Customer Dispute | Denied | $59,827.20 | $0.00 | See FINRA Report |
| Michael Harvey Hamilton | 2263524 | 3 | 09/23/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Steven Elias | 2938707 | 3 | 09/16/2022 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |