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 |
|---|---|---|---|---|---|---|---|---|
| Timothy William Ryan | 1353860 | 5 | 10/07/1997 | Customer Dispute | Settled | $21,260.50 | $0.00 | See FINRA Report |
| David Brian Franken | 1436040 | 1 | 10/06/1997 | Customer Dispute | Denied | $42,368.30 | $0.00 | See FINRA Report |
| David P Paul Sobocinski | 867645 | 5 | 10/06/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael W William Thompson | 1111881 | 3 | 09/24/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ramon Manuel Almonte | 1014799 | 247 | 09/23/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Seth Neil Ripple | 2308776 | 1 | 09/03/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Morris I Betesh | 2119633 | 1 | 09/03/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Thomas Young | 2142848 | 1 | 08/29/1997 | Customer Dispute | Award / Judgment | $288,389.00 | $31,826.00 | See FINRA Report |
| Michael Geoffrey Trahan | 2029814 | 1 | 08/27/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John James Petracco | 1066918 | 13 | 08/27/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |