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 |
|---|---|---|---|---|---|---|---|---|
| Owen Henry Dugan | 1450491 | 2 | 07/25/1994 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Edward Y Tom | 1655996 | 5 | 07/19/1994 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Gregory Thomas Pleasants | 1991846 | 1 | 07/14/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Charles L Verner | 1196231 | 3 | 07/13/1994 | Customer Dispute | Settled | $223,873.00 | $0.00 | See FINRA Report |
| M Kenneth Witover | 470730 | 4 | 07/01/1994 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Ellice Jean Papp | 830190 | 1 | 06/09/1994 | Customer Dispute | Settled | $186,607.00 | $0.00 | See FINRA Report |
| Richard Willis Kite | 271041 | 4 | 05/26/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patrick Francis Duff | 1192139 | 1 | 05/23/1994 | Customer Dispute | Settled | $590,000.00 | $0.00 | See FINRA Report |
| Craig Duncan Grant | 1021851 | 1 | 05/12/1994 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Mark H Howard Bradley | 28314 | 1 | 04/28/1994 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |