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 |
|---|---|---|---|---|---|---|---|---|
| James Leonard Candella | 4365560 | 1 | 05/21/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Patricia B Smith | 501388 | 1 | 05/16/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Guillermo Agustin Eiben | 5697705 | 2 | 05/16/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jose David Mendez Perez | 2945273 | 27 | 05/15/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel Bart Silverberg | 1576956 | 2 | 05/14/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robbyn Geoffrey Gayer | 4490638 | 1 | 05/06/2024 | Customer Dispute | Pending | $20,230.40 | $0.00 | See FINRA Report |
| Arnold I Irwin Alpert | 3919 | 3 | 05/02/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Elias A Letayf | 4545016 | 2 | 04/30/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Dario Suarez | 1143417 | 76 | 04/24/2024 | Customer Dispute | Pending | $1,500,000.00 | $0.00 | See FINRA Report |
| Susan Mabel Morse | 1129465 | 3 | 03/26/2024 | Customer Dispute | Final | $50,000.00 | $0.00 | See FINRA Report |