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 |
|---|---|---|---|---|---|---|---|---|
| Felix Joaquin Perez-Retes | 1763279 | 4 | 08/29/1995 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Kenneth Scott Gunsberger | 1878074 | 6 | 08/23/1995 | Customer Dispute | Settled | $47,000.00 | $0.00 | See FINRA Report |
| Glen R Sondag | 430603 | 4 | 08/01/1995 | Customer Dispute | Settled | $31,377.00 | $0.00 | See FINRA Report |
| Jonathan Bolter | 1584626 | 2 | 07/20/1995 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Christopher P Sherman | 1277041 | 1 | 07/06/1995 | Customer Dispute | Settled | $136,500.00 | $0.00 | See FINRA Report |
| Christopher Stephen Pilalas | 812714 | 7 | 06/23/1995 | Customer Dispute | Settled | $76,900.00 | $0.00 | See FINRA Report |
| Mitchell Alan Bellak | 710911 | 5 | 06/19/1995 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Scott A Slavik | 2245652 | 4 | 06/12/1995 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Allan Stuart Fields | 207299 | 4 | 05/11/1995 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Mitchell Paul Slater | 1765778 | 7 | 05/01/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |