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 |
|---|---|---|---|---|---|---|---|---|
| John W Warren Bloom | 1372242 | 4 | 08/26/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Stephen Lemaster Karr | 1186635 | 1 | 08/25/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Joseph Parisi | 1110086 | 8 | 07/30/1997 | Customer Dispute | Settled | $71,000.00 | $0.00 | See FINRA Report |
| Ali M Fahr | 1519736 | 4 | 07/01/1997 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| James Marc Engel | 1937434 | 2 | 06/03/1997 | Customer Dispute | Award / Judgment | $4,158.96 | $2,578.00 | See FINRA Report |
| Andrew David Geller | 500253 | 4 | 05/19/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Barry Allen Schwartz | 1022377 | 3 | 05/05/1997 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Mark Jerome Bloom | 827097 | 2 | 04/16/1997 | Customer Dispute | Award / Judgment | $250,000.00 | $40,568.30 | See FINRA Report |
| James Alfred MacDonald | 2078907 | 3 | 03/21/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nancy Marie Heiser | 1619953 | 2 | 03/18/1997 | Customer Dispute | Settled | $36,512.60 | $0.00 | See FINRA Report |