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 |
|---|---|---|---|---|---|---|---|---|
| Martin Jay Sloane | 1222697 | 3 | 07/27/1993 | Customer Dispute | Settled | $19,000.00 | $0.00 | See FINRA Report |
| Roberto Dejesuspou | 1746630 | 26 | 07/23/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Jeremy Hall | 234314 | 3 | 07/02/1993 | Customer Dispute | Award / Judgment | $54,871.00 | $1,072.68 | See FINRA Report |
| Michael Dean Joseph Alioto | 702704 | 15 | 06/28/1993 | Customer Dispute | Settled | $311,664.00 | $0.00 | See FINRA Report |
| Timothy Nees Bremner | 861879 | 3 | 06/18/1993 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Rick Spyro Kirkinis | 718062 | 1 | 06/09/1993 | Customer Dispute | Award / Judgment | $9,354.80 | $12,904.20 | See FINRA Report |
| Marion P Porter Brawley | 856366 | 8 | 06/09/1993 | Customer Dispute | Settled | $115,000.00 | $0.00 | See FINRA Report |
| Shaun Perry Nicholson | 729670 | 2 | 06/08/1993 | Customer Dispute | Settled | $19,851.10 | $0.00 | See FINRA Report |
| Ronald Bruce Buchanan | 816697 | 3 | 06/07/1993 | Customer Dispute | Settled | $17,389.00 | $0.00 | See FINRA Report |
| Elaina S Spilove | 873854 | 2 | 06/01/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |