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 |
|---|---|---|---|---|---|---|---|---|
| Mitchell Alan Bellak | 710911 | 5 | 07/30/1996 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Russell Kenneth Kramp | 274931 | 2 | 07/25/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Randale John Honaker | 719303 | 4 | 07/18/1996 | Customer Dispute | Award / Judgment | $93,582.00 | $20,000.00 | See FINRA Report |
| Kevin T Ducie | 1215020 | 1 | 07/03/1996 | Customer Dispute | Award / Judgment | $12,500.00 | $407.80 | See FINRA Report |
| Jacqueline Harriet Willens | 1305503 | 2 | 05/20/1996 | Customer Dispute | Settled | $127,948.00 | $0.00 | See FINRA Report |
| J Thomas Smith | 427994 | 5 | 05/09/1996 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| John Matthew Loughran | 1884834 | 1 | 05/07/1996 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Margaret Hatfield Carey | 1389111 | 1 | 05/07/1996 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Paul Edwin Butler | 1216336 | 2 | 03/25/1996 | Customer Dispute | Settled | $27,000.00 | $0.00 | See FINRA Report |
| Kurt Crandall Nielsen | 1113154 | 2 | 03/14/1996 | Customer Dispute | Award / Judgment | $1,245.08 | $357.67 | See FINRA Report |