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 |
|---|---|---|---|---|---|---|---|---|
| Harvey Elliot Demsky | 65265 | 1 | 12/29/1997 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Kathleen Caton Burke | 709237 | 1 | 12/17/1997 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| David Eugene Walker | 1001777 | 2 | 12/01/1997 | Customer Dispute | Settled | $73,129.90 | $0.00 | See FINRA Report |
| David Eugene Walker | 1001777 | 2 | 11/20/1997 | Customer Dispute | Settled | $37,227.00 | $0.00 | See FINRA Report |
| Todd Patrick Kennedy | 2382823 | 4 | 11/20/1997 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Randale John Honaker | 719303 | 4 | 11/19/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Randall Allen Marsh | 2232235 | 1 | 11/12/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Tammy Renae Head | 1327555 | 1 | 11/06/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Gordon Schifani | 2268653 | 1 | 10/20/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jonathan Joseph Galli | 1172192 | 2 | 10/20/1997 | Customer Dispute | Withdrawn | $95,503.00 | $0.00 | See FINRA Report |