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 |
|---|---|---|---|---|---|---|---|---|
| Albert Del Maestro | 1107561 | 1 | 02/16/1996 | Customer Dispute | Award / Judgment | $8,596.00 | $2,043.00 | See FINRA Report |
| William Glenn Royer | 2379631 | 3 | 02/12/1996 | Customer Dispute | Settled | $125,000.00 | $0.00 | See FINRA Report |
| Barry Francis Cavagnaro | 1492883 | 2 | 02/05/1996 | Customer Dispute | Settled | $630.00 | $0.00 | See FINRA Report |
| Mitchell Alan Bellak | 710911 | 5 | 01/10/1996 | Customer Dispute | Settled | $19,500.00 | $0.00 | See FINRA Report |
| Thomas Gerard Salierno | 1028983 | 4 | 12/07/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Gerard Salierno | 1028983 | 4 | 11/29/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Rodbell | 1595803 | 2 | 11/01/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Susan Sau-Chung Wong-Andrus | 1686409 | 1 | 10/16/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John David Deming | 2467305 | 1 | 10/13/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Rodbell | 1595803 | 2 | 09/27/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |