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 |
|---|---|---|---|---|---|---|---|---|
| Mariam Adams | 6433787 | 1 | 09/14/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeremy Joseph Reed | 5929998 | 1 | 09/09/2022 | Customer Dispute | Denied | $85,217.00 | $0.00 | See FINRA Report |
| Allen G Carter Jr | 1963914 | 2 | 09/06/2022 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| Jack Ryan Riley | 4306836 | 3 | 09/06/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Stern Buchsbaum | 2220565 | 34 | 08/31/2022 | Customer Dispute | Settled | $1,400,000.00 | $0.00 | See FINRA Report |
| Mitchell Riesenberger | 2990475 | 1 | 08/31/2022 | Customer Dispute | Settled | $620,000.00 | $0.00 | See FINRA Report |
| Timothy Parson Marshall | 1280980 | 3 | 08/26/2022 | Customer Dispute | Denied | $7,000.00 | $0.00 | See FINRA Report |
| Cristobal Flanagan Margozzini | 6706119 | 1 | 08/16/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Andrew Wittenberg | 1552330 | 4 | 08/10/2022 | Customer Dispute | Award / Judgment | $1,154,090.00 | $0.00 | See FINRA Report |
| David Ray Barnes | 2181896 | 2 | 08/09/2022 | Customer Dispute | Award / Judgment | $3,400,000.00 | $0.00 | See FINRA Report |