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 |
|---|---|---|---|---|---|---|---|---|
| William Charles Stonhaus | 1031651 | 10 | 03/17/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Douglas Leugers | 1645880 | 1 | 02/03/1997 | Customer Dispute | Settled | $51,000.00 | $0.00 | See FINRA Report |
| James Newlands Patrick | 2246411 | 1 | 01/24/1997 | Customer Dispute | Settled | $49,233.90 | $0.00 | See FINRA Report |
| Duane Charles Ohly | 2031535 | 3 | 01/16/1997 | Customer Dispute | Settled | $224,425.00 | $0.00 | See FINRA Report |
| Charles Francis Hill | 245684 | 1 | 01/03/1997 | Customer Dispute | Settled | $1,750,000.00 | $0.00 | See FINRA Report |
| Thomas Joseph Bowes | 27336 | 2 | 12/19/1996 | Customer Dispute | Settled | $138,045.00 | $0.00 | See FINRA Report |
| Peter Burgess Ford | 1710753 | 11 | 12/09/1996 | Customer Dispute | Settled | $49,000.00 | $0.00 | See FINRA Report |
| John David Reinhold | 808182 | 2 | 11/13/1996 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Stanford Stewart Smith | 1677009 | 2 | 10/30/1996 | Customer Dispute | Settled | $63,443.00 | $0.00 | See FINRA Report |
| Helen Suzanne Hoffman | 1045308 | 5 | 09/06/1996 | Customer Dispute | Award / Judgment | $14,055.50 | $15,055.00 | See FINRA Report |