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 |
|---|---|---|---|---|---|---|---|---|
| John Joseph Jaber | 1306505 | 1 | 04/21/1994 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Charles L Verner | 1196231 | 3 | 04/21/1994 | Customer Dispute | Settled | $456,700.00 | $0.00 | See FINRA Report |
| M Kenneth Witover | 470730 | 4 | 03/24/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Donna Lee MacKie Campbell | 1888532 | 1 | 03/18/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Frances Kay Huffman | 728636 | 2 | 02/25/1994 | Customer Dispute | Settled | $512,535.00 | $0.00 | See FINRA Report |
| Robert Paul Goldstein | 1349953 | 5 | 02/15/1994 | Customer Dispute | Settled | $27,500.00 | $0.00 | See FINRA Report |
| Sean Vance Dillon | 1490506 | 9 | 12/29/1993 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Glenn Allen Mosier | 341344 | 4 | 11/22/1993 | Customer Dispute | Settled | $190,000.00 | $0.00 | See FINRA Report |
| John James Petracco | 1066918 | 13 | 11/02/1993 | Customer Dispute | Settled | $78,000.00 | $0.00 | See FINRA Report |
| Thomas Gerard Salierno | 1028983 | 4 | 10/21/1993 | Customer Dispute | Settled | $17,897.00 | $0.00 | See FINRA Report |