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 |
|---|---|---|---|---|---|---|---|---|
| Joseph James Stroud | 1356019 | 4 | 02/21/1998 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Robert J Callanan | 1033366 | 3 | 02/11/1998 | Customer Dispute | Denied | $20,645.00 | $0.00 | See FINRA Report |
| Paul James Higgins | 2254223 | 3 | 02/10/1998 | Customer Dispute | Award / Judgment | $141,000.00 | $60,689.00 | See FINRA Report |
| David Newbold Smith | 1754691 | 1 | 02/03/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles Harold Cooper | 1001588 | 3 | 02/02/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Joseph Miller | 1525366 | 3 | 01/28/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth Edward Zalcman | 475695 | 3 | 01/27/1998 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| John Oscar Fogarty | 2245102 | 2 | 01/15/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Paul Nassau | 703719 | 3 | 01/12/1998 | Customer Dispute | Denied | $20,615.00 | $0.00 | See FINRA Report |
| Renee Michelle Fourcade | 1021348 | 2 | 01/08/1998 | Customer Dispute | Denied | $23,000.00 | $0.00 | See FINRA Report |