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 |
|---|---|---|---|---|---|---|---|---|
| Marion P Porter Brawley | 856366 | 8 | 04/24/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Henry Julien Muller | 2264775 | 3 | 04/20/1995 | Customer Dispute | Settled | $50,783.00 | $0.00 | See FINRA Report |
| Christopher Stephen Pilalas | 812714 | 7 | 04/11/1995 | Customer Dispute | Settled | $11,330.00 | $0.00 | See FINRA Report |
| Steven Alan Kalodner | 1399718 | 2 | 04/03/1995 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Cary Alan Moskowitz | 1287997 | 4 | 03/28/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Mitchell Mallah | 1713034 | 4 | 03/13/1995 | Customer Dispute | Settled | $50,001.00 | $0.00 | See FINRA Report |
| John Edward Franklin | 734180 | 2 | 02/21/1995 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Sean Vance Dillon | 1490506 | 9 | 02/07/1995 | Customer Dispute | Settled | $107,918.00 | $0.00 | See FINRA Report |
| Roberto Dejesuspou | 1746630 | 26 | 01/31/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Christ Ruboyianes | 406652 | 1 | 01/18/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |