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 |
|---|---|---|---|---|---|---|---|---|
| Charles Sumner Smith | 501256 | 4 | 10/21/1993 | Customer Dispute | Settled | $23,645.00 | $0.00 | See FINRA Report |
| Charles Sumner Smith | 501256 | 4 | 10/21/1993 | Customer Dispute | Settled | $33,993.00 | $0.00 | See FINRA Report |
| Charles Sumner Smith | 501256 | 4 | 10/21/1993 | Customer Dispute | Settled | $5,916.00 | $0.00 | See FINRA Report |
| Andrew David Geller | 500253 | 4 | 09/27/1993 | Customer Dispute | Award / Judgment | $250,000.00 | $96,250.00 | See FINRA Report |
| Russell G Cappelen Jr | 1261781 | 5 | 09/23/1993 | Customer Dispute | Settled | $34,479.40 | $0.00 | See FINRA Report |
| Martin Jay Sloane | 1222697 | 3 | 09/21/1993 | Customer Dispute | Settled | $26,379.10 | $0.00 | See FINRA Report |
| Robert Read Douglas | 1053739 | 1 | 09/03/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| J Thomas Smith | 427994 | 5 | 09/02/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dino John Ragazzo | 1245047 | 3 | 08/04/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dale Louis Emerick | 707890 | 2 | 08/01/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |