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 |
|---|---|---|---|---|---|---|---|---|
| Barry Phillip West | 826595 | 10 | 12/23/1992 | Customer Dispute | Award / Judgment | $224,000.00 | $152,483.00 | See FINRA Report |
| Douglas Wayne Tenny | 1398025 | 2 | 12/15/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Willis Kite | 271041 | 4 | 12/02/1992 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Thomas Crawford Wertz | 463656 | 7 | 12/01/1992 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Robert Allyn Taylor | 1269613 | 3 | 11/30/1992 | Customer Dispute | Settled | $74,986.00 | $0.00 | See FINRA Report |
| Michele M Meyer Ferrone | 1376162 | 3 | 10/01/1992 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Russell G Cappelen Jr | 1261781 | 5 | 09/23/1992 | Customer Dispute | Settled | $157,112.00 | $0.00 | See FINRA Report |
| Shaun Perry Nicholson | 729670 | 2 | 09/16/1992 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Dale Louis Emerick | 707890 | 2 | 08/14/1992 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lawrence J John Hayes | 240540 | 2 | 08/07/1992 | Customer Dispute | Settled | $130,000.00 | $0.00 | See FINRA Report |